HomeMy WebLinkAboutResolution - 2020-R0105 - Health And Human Services Commission - Funding For Prevention Resource Centers - 03/24/2020 Resolution No. 2020-RO105
Item No. 7.15
March 24, 2020
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock is hereby authorized and directed to execute for and
on behalf of the City of Lubbock, Health and Human Services Commission Contract No.
HHS000749200002, to provide funding for Prevention Resource Centers (PRC) Program, by
and between the City of Lubbock and the State of Texas' Health and Human Services
Commission, and all related documents. Said Contract is attached hereto and incorporated in
this resolution as if fully set forth herein and shall be included in the minutes of the City
Council.
Passed by the City Council on March 24, 2020
L—dv
DANIEL M. POPE, MAYOR
ATTEST:
Reb cca Garza, City Sec tart'
APPROVED AS TO CONTENT:
Bill eput�y Ci - nager
1
APPROVED AS TO FORM:
Ry Br ke, _ssi ant City Attorney
RES.HHS Contract No. HHS000749200002
3.17.20
DocuSign Envelope ID-A19D2ED3-B8AA-4470-B3FF-A95614D12E5D
Resolution No. 2020-RO 105
SIGNATURE DOCUMENT FOR
HEALTH AND HUMAN SERVICES COMMISSION
CONTRACT No.HHS000749200002
UNDER THE SUBSTANCE USE DISORDER PREVENTION
PREVENTION RESOURCE CENTERS PROGRAM
I. PURPOSE
The Health and Human Services Commission("System Agency"),a pass-through entity, and City
of Lubbock ("Grantee"), each a "Party" and collectively the "Parties", enter into the following
grant contract to provide funding for Prevention Resource Centers (PRC) Program (the
"Contract").
II. LEGAL AUTHORITY
This Contract is authorized by and in compliance with the provisions of Texas Government Code
Chapter 531.
III. DURATION
The Contract is effective on March 15, 2020 and terminates on August 31, 2024, unless renewed,
extended, or terminated pursuant to the terms and conditions of the Contract. System Agency, at
its sole discretion, may extend this Contract for any period(s)of time,provided the Contract term,
including all extensions or renewals, does not exceed five years. Notwithstanding the limitation
in the preceding sentence, System Agency, at its sole discretion, also may extend the Contract
beyond five years as necessary to ensure continuity of service, for purposes of transition, or as
otherwise determined by System Agency to serve the best interest of the State.
IV. BUDGET
The total amount of this Contract will not exceed$1,459,785.00.This includes the System Agency
share of$250,000.00 and Grantee's required match amount of$41,957.00 per fiscal year.
All expenditures under the Contract will be in accordance with ATTACHMENT B,BUDGET.
If an Indirect Cost Rate Letter is required but it is not issued at the time of Contract execution,the
Parties agree to amend the Contract to include the Indirect Cost Rate Letter as ATTACHMENT I
and revise ATTACHMENT B when the Indirect Cost Rate Letter is issued.
If the System Agency, at its sole discretion, approves or acknowledges an updated indirect cost
rate,the new rate,together with the revised ICR Acknowledgement Letter,ICR Acknowledgement
Letter--Ten Percent De Minimis, or the ICR Agreement Letter, will be included in the revised
ATTACHMENT I and amended ATTACHMENT B.
HHSC Grant-v2.14
Effective:May 1,2019
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V. REPORTING REQUIREMENTS
Grantee shall submit all documents identified below, in accordance with ATTACHMENT A,
STATEMENT OF WORK:
1. CPS, APS, or ACTS Certifications;
2. Security Attestation Form and Listing of Authorized Users;
3. Year 1 CNA;
4. Year 5 CAN;
5. Logic Model and Related Coalition Meeting Minutes;
6. Five Year Strategic Plan and related meeting minutes;
7. Initial Evaluation Plan and related meeting minutes;
8. Subsequent Evaluation Plans and related meeting minutes;
9. Five Year Evaluation Report;
10. Performance Measures;
11. Initial Annual Implementation Plan;
12. Subsequent Annual Implementation Plan and related meeting minutes;
13. Quarterly Reports; and
14. Financial Status Reports.
VI. CONTRACT REPRESENTATIVES
The following will act as the representative authorized to administer activities under this
Contract on behalf of their respective Party.
System Agency Grantee
Health and Human Services Commission City of Lubbock
P.O. Box 149347 1625 131'Street
Austin,TX 78714 Lubbock,TX 79401
Attention: Carol Marshall, Contract Attention: Daniel Pope
Manager
VII. LEGAL NOTICES
Any legal notice required under this Contract shall be deemed delivered when deposited by
the System Agency either in the United States mail, postage paid, certified, return receipt
requested;or with a common carrier,overnight,signature required,to the appropriate address
below:
System Agency Lubbock,TX 79401-3830
Health and Human Services Commission Attention: Daniel Pope
1100 W. 49th Street, MC 1911
Austin, TX 78756
Attention: General Counsel
Grantee
City of Lubbock
1625 13th Street
HHSC Contract# HHS000749200002
Page 2 of 38
HHSC Grant-v 2.14
Effective:N1 ay 1,2019
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VIII. NOTICE REQUIREMENTS
Notice given by Grantee will be deemed effective when received by the System Agency. Either Party
may change its address for notices by providing written notice to the other Party. All notices
submitted to System Agency must:
A. include the Contract number;
B. be sent to the person(s) identified in the Contract; and,
C. comply with all terms and conditions of the Contract.
IX. ADDITIONAL.GRANT INFORMATION
Grantee(DUNS)Number: 058213893
Federal Award Identification Number(FAIN): B08TI010051-18
CFDA Name and Number: 93.959
Federal Award Date: lOrO1,{2017
Federal Award Period: 10.101:'2017-09,'30`2019
Name of Federal Awarding Agency: Department of Health and Human
Services (HHS), Substance Abuse and
Mental Health Services Administration
(SAMHSA)
Awarding Official Contact Information: Odessa Crocker, Grants Management
Officer, Point of Contact is Wendy Pang,
Grants Specialist, Contact Number: (240)
276-1419, Facsimile: (240)276-1430, Email:
Wendy.Pang(c z.samhsa.hhs.gov
SIGNATURE PAGE FOLLOWS
System Agency Contract No.HHS000749200002 Page 3 of 38
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SIGNATURE PAGE FOR SYSTEM AGENCY
CONTRACT NO.HHS000749200002
THE HEALTH AND HUMAN SERVICES
COMMISSION CITY OF LUSBO"
Signature Signature
Daniel M. Pope
Printed Name Printed Name
Mayor
Title Title
March 24, 2020
Date Date
THE FOLLOWING ATTACHMENTS To ENTERPRISE AGENCY CONTRACT NO.HHS000749200002
ARE HEREBY INCORPORATED BY REFERENCE:
ATTACHMENT A STATEMENT OF WORK
ATTACHMENT A-1 STATEMENT OF WORK SUPPLEMENTAL
ATTACHMENT A-2 SUBSTANCE ABUSE PREVENTION AND TREATMENT(SAPT)
BLOCK GRANT CONTRACT SUPPLEMENTAL
ATTACHMENT B BUDGET
ATTACHMENT C GENERAL AFFIRMATIONS
ATTACHMENT D UNIFORM TERMS AND CONDITIONS
ATTACHMENT E SPECIAL CONDITIONS
ATTACHMENT F FEDERAL ASSURANCES AND CERTIFICATIONS
ATTACHMENT G DATA USE AGREEMENT
ATTACHMEN FISCAL FEDERAL FUNDING ACCOUNTABILITY AND
TRANSPARENCY ACT(FFATA)FORM
APPWM AS TO CONTENT. 1�powdr q lortlt
li
Atte$ rsa#,City
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ATTACHMENT A
STATEMENT OF WORK
1. PURPOSE
The purpose of the Prevention Resource Centers (PRCs) is to increase the capacity of the
statewide substance abuse prevention system. PRC services seek to enhance community
collaboration, increase community awareness and readiness, provide information and
resources on substance use and related behavioral health data, support professional
development of the prevention workforce, and provide resources for evaluation activities
within each service region.
Grantees providing PRC services will work together with other System Agency-funded
substance abuse prevention programs that address substance use and misuse,state agencies
and community stakeholders that hold, gather information and resources that increase
community awareness, readiness and services related to substance use, behavioral health
and health. PRCs will follow the Strategic Prevention Framework model of the Substance
Abuse and Mental Health Services Administration(SAMHSA), and strengthen prevention
efforts and strategies for coordination across multiple levels of impact following the Social
Ecological Model as it pertains or enhance the scope of work of the PRC.
Grantees will provide services that help address gaps in accordance with the Health
and Human Services Commission ("HHSC" or "System Agency") Statewide Behavioral
Health Strategic Plan 2017-2021, httl)s://hhs.texas.€:ov sites default/tiles documents.'laws-
re�,zulations:`reports-presentations:2017'tx-statewide-behavior-health-strategic-plan-
progress-report jan2017.pdf that focus on preventing substance use and misuse; and
behavioral health data.
GOALS
L To maintain and serve as the primary resource for substance use and related
behavioral health data for the region.
2. To coordinate the required prevention strategies across all System Agency-funded
substance abuse prevention Grantees to ensure compliance with state regulations.
3. To strengthen compliance with existing laws on the sale of tobacco and nicotine
products to minors through education and monitoring activities.
4. To increase awareness of the community regarding substance use and misuse
through the dissemination of information across a wide variety of media outlets and
distribution networks.
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5. To build the prevention workforce capacity through technical support and
coordination of prevention trainings.
11. GRANTEE RESPONSIBILITIES
A. GENERAL RESPONSIBILITIES
Grantee will:
1. Conduct prevention services and activities
a. Within all counties located in the region;
b. in accordance with the rules in Title 25 of the Texas Administrative Code
(TAC), Chapter 447;
c. To the identified target population where the target population is located;
d. As specified in Grantee's response to the solicitation document; and
e. As approved by the System Agency.
2. Follow the National Standards for Culturally and Linguistically Appropriate Services in
Health and Health Care(The National CLAS Standards, 2013) for the target population
and demonstrate good-faith efforts to reach out to underserved populations. These
include, but are not limited to people:
a. of color;
b. with low educational and/or socioeconomic status;
c. with limited English proficiency;
d. with disabilities;
e. of Native American Tribes;
f. from military and veteran status and their families;
g. who live in Colonias; and
h. who identify as lesbian,gay,bisexual,transgender,and queer(and/or questioning)
(LGBTQ).
3. Ensure the Prevention Program Director, Data Coordinator, Public Relations
Coordinator, and Tobacco Prevention Coordinator participate in conference calls and
webinars as scheduled by System Agency.
4. Implement the following Center for Substance Abuse Prevention(CSAP) strategies as
appropriate and defined within each core function of the PRC:
a. Community-Based Processes (Percentage of Effort = 40%) strengthen
resources such as community coalitions to prevent substance use and misuse.
Organizing, planning, and networking are included in this strategy to increase the
community's ability to deliver effective prevention services. Activities in this
strategy include those that educate and mobilize the community toward prevention
efforts and provide the Grantee with opportunities to obtain meaningful
Community Agreements (CAs). CAs may include Memoranda of Understanding
(MOUs), Letters of Agreement (LOAs), and/or Memoranda of Agreement
(MOAs). CAs will represent diversified resources that may include, but are not
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limited to: mentoring, behavioral health services, youth prevention program
services, substance abuse prevention related data, community coalitions,
counseling, schools, higher education, hospitals, emergency rooms, pharmacies,
prescription data, and other health and human needs.
b. Information Dissemination(Percentage of Effort=35%) increases knowledge
and changes attitudes through communications. This method is mainly one-way
(i.e. classroom speakers or media campaigns). Information dissemination may be
conducted in the form of community presentations or media awareness activities.
c. Environmental and Social Policies (Percentage of Effort=20%) are aimed at
the settings and conditions in which people live, work, and socialize. These
strategies work to change policies, social norms, and behaviors to reduce risk
factors and increase protective factors. As these changes are carried out at the
community level, they can have a sweeping impact.
d. Identification of Problems and Referral to Services (Percentage of Effort
= 5%) includes determining when the needs of participants require additional
education or intensive services and strategies outside the scope of the activities in
this Contract and properly refer participants who present a need for individualized
services outside the scope of prevention.
5. Ensure the Prevention Program Director completes a PRC Implementation Plan using
the System Agency-approved template. The plan will include and describe the required
core activities outlined in the Contract.
6. Ensure the Prevention Program Director submits a PRC Mid-Year Program Report and
PRC Final Program Report using the System Agency-approved forms.
B. PRC CORE FUCTION: DATA RESOURCE COORDINATION (DATA CORE)
A goal of each Prevention Resource Center(PRC) is to maintain and serve as the primary
resource for substance use and related behavioral health data for the region.
1. Community-Based Processes strengthen community resources to prevent
substance use and misuse. Organizing, planning, and networking are included in
this strategy to increase the community's ability to deliver effective prevention
services. To address the CSAP strategy of community-based process within the PRC
Data Core.
Grantee will:
i. Collaborate with the System Agency Statewide Prevention Evaluator, other
PRC Data Coordinators, System Agency staff, and regional stakeholders to
develop a comprehensive data infrastructure for the PRC region.
ii. Conduct and attend meetings with community stakeholders to raise awareness
and generate support to enhance data collection efforts within the region.
iii. Promote school participation in the Texas School Survey of Drug and Alcohol
Use and university.-college participation in the Texas College Survey of
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Substance Use. Grantee will coordinate with Texas A&M Public Policy
Research Institute on recruitment activities.
iv. Support local and regional data collection strategies regarding substance
use/misuse and related risk and protective factors.
v. Document collaborative efforts using the System Agency-generated template.
a. Establish and maintain Community Agreements (CAs) with community stakeholders
that encourage networking and coordination to support the gathering and distribution
of data. Sample CAs include, but are not limited to, data use agreements, cooperation
data requests, access to internal agency reports, and collaboration on specific data
products. Grantee will maintain signed copies of the CAs for review by the System
Agency upon request. CAs will
i. Be developed with the needs of each particular stakeholder in mind, and be
individualized as much as possible;
ii. Be signed by both parties prior to service delivery, and contain begin and end
dates; and
iii. Be renewed where applicable;
iv. Establish responsibilities of entering parties based on guidelines from the
System Agency-generated template.
b. Collaborate with System Agency-funded providers and community stakeholders in
the service region to obtain data that will assist in the development of the Regional
Needs Assessment. Grantee will report collaborative efforts in the PRC Mid-Year
Program Report and PRC Final Program Report using the System Agency-generated
form.
c. Develop and maintain a Regional Epidemiological Workgroup (REW) identifying
substance use patterns focused on the State's four prevention priorities at the regional,
county,and local level.The REW will also work to identify regional data sources,data
partners,and relevant risk and protective factors to provide information relevant to the
Regional Needs Assessment. Other work may include the identification of data gaps,
analysis of community resources and readiness, collaboration on region-wide efforts,
and recommendations and/or development of other forms of prevention infrastructure
support. Grantee will conduct/participate in a minimum of four (4) REW meetings
and document using the System Agency-generated template.
d. Participate in the System Agency Statewide Evidence-Based Practice Workgroup
(EBPWG)and the System Agency Statewide Epidemiological Outcomes Workgroup
(SEOW).
e. Utilize Community Agreements as a referral to outside resources within the community
for individuals who are determined to have a need for services outside the scope of
primary prevention or services unavailable to be delivered by the grantee's
organization.The Identification of Problems and Referral to Services is a crucial aspect
to providing holistic prevention services to the community. Referrals may be made to
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other HHSC-funded Substance Use and Misuse Prevention providers or agencies
relevant to the needs of the individual being referred.
2. Information Dissemination provides awareness and knowledge of substance use and
misuse. Within the PRC Data Core, information is provided in the form of the Regional
Needs Assessment and data reports. The information may be disseminated through written
communication such as bulletins, newsletters, in-person presentations, social media,
interviews and news articles, and press releases. Grantee will conduct the following
activities within the PRC Data Core and document this strategy using the System Agency-
generated template.
Grantee will:
i. Develop a Regional Needs Assessment(RNA)to serve as a community
reference tool to provide region-specific substance use and related information to
community organizations and stakeholders. The RNA will include:
1) Substance use consumption patterns;
2) Consequence, incidence and prevalence data;
3) Community risk factors;
4) Emotional and behavioral prevalence data;
5) Population and cultural-specific effects; and
6) Data about assets that protect against substance use and misuse and promote
emotional well-being.
ii. Submit completed RNA for review and approval by System Agency using
System Agency-generated template.
iii. Receive approval from System Agency to post RNA and send an email of
posting notification and URL link to the System Agency.
iv. Serve as a data resource for System Agency-funded programs,other community
entities and the System Agency by fulfilling requests for data and information.
The Grantee may be required by community stakeholders, System-Agency-
funded programs and the System Agency to complete Community Agreements
(CA) or Memorandum of Understandings (MOU) related to data exchange or
data sharing.
v. Develop and facilitate at least one region-wide event based on RNA data findings
to bring targeted communities and stakeholders together to educate and collaborate
on substance use related issues. The event will include:
1) Participation from other System Agency-funded prevention programs;
2) A planning committee comprised of external stakeholders representing
different sectors of the community;
3) Incorporation of RNA data findings where applicable; and
4) Documentation of planning meetings and activities conducted.
A report of the event will be documented in the PRC Final Program Report using
the System Agency-generated form.
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vi. Direct community stakeholders to resources regarding data collection strategies
and evaluation activities.
vii. Not develop surveys or participate in primary data collection nor conduct data
analysis activities on behalf of other organizations.
C. PRC CORE FUNCTION: COORDINATE TRAINING AND PROFESSIONAL
DEVELOPMENT (TRAINING CORE)
The goal of the PRC Training Core is to build the prevention workforce capacity through
technical support and coordination of prevention trainings.This goal will be addressed through
the implementation of the CSAP strategy of Community-Based Processes, which is designed
to enhance the ability of the community to more effectively provide prevention services.
Grantee will conduct the following activities within the PRC Training Core and document this
strategy using the System Agency-approved template.
Grantee will:
1. Assist the System Agency-funded training entity by hosting trainings and coordinating
host training sites.
2. Work directly with the System Agency-funded training entity to promote and
coordinate regional trainings.
i. Distribute weekly updates to System Agency-funded prevention providers within
the region about the availability of substance abuse prevention trainings and other
related trainings offered by the System Agency-funded training entity and other
community-based organizations.
ii. Promote the System Agency-funded training entity's regional trainings to
facilitate community stakeholder participation. Grantee will ensure at least 25%
of the annual number of adults trained are representatives of external community
stakeholders. External community stakeholders are considered to be anyone from
non-System Agency-funded prevention programs (i.e., PRC, CCP, YPU, YPS,
and YPI programs).
3. Maintain a current regional contact list on the Grantee's PRC website of all System
Agency-funded Youth Prevention Programs (Universal, Selective, and Indicated),
Community Coalition Partnerships, Tobacco Prevention Community Coalitions,
Suicide Prevention Coalitions, and other related prevention programs.
4. Participate in monthly calls with the Public Relations Coordinator, System Agency,and
System Agency-funded training entity to provide information and facilitate coordination
of curriculum trainings and other professional development trainings offered through
the System Agency-funded training entity or other community-based organizations.
D. PRC CORE FUNCTION: COORDINATE MEDIA AWARENESS ACTIVITIES
(MEDIA CORE)
A goal of each PRC is to increase awareness of the community regarding substance use and
misuse through Media Awareness Activities. Media Awareness Activities are marketing
campaigns that serve the target population.
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As part of the CSAP strategy of Community-Based Process, Grantee will establish and
maintain CAs with media outlets and community stakeholders that facilitate the implementation
of Media Awareness Activities. Grantee will maintain signed copies of the CAs for review by
the System Agency upon request. CAs will:
1. Be developed with the needs of each particular stakeholder in mind, and be individualized
as much as possible;
2. Be signed by both parties prior to service delivery, and contain begin and end dates;
3. Be renewed where applicable; and
4. Establish responsibilities of entering parties based on guidelines from the System Agency-
generated template.
The CSAP strategy of Information Dissemination increases knowledge and changes attitudes
through communications. This method is mainly one-way. Within the PRC Media Core,
Grantee will:
Grantee will:
i. Prior to dissemination, submit region-specific Media Awareness Activities as part of
the PRC Implementation Plan for System Agency review and approval.
ii. Follow guidelines described in the SAMHSA toolkit,Focus on Prevention-Strategies
and Programs to Prevent Substance Use (https:ltore.samhsa.gov.prodarct:.Focars-
on-Prevention4ma10-4120), in the development of Media Awareness Activities.
iii. Coordinate and collaborate with the System Agency Prevention Media Campaign and
other System Agency-funded grantees(i.e. CCPs and YPs—Universal, Selective, and
Indicated)to develop and/or promote a consistent statewide message focused on the
State's four prevention priorities.
iv. Promote prevention messages through media outlets including,but not limited to,radio
or television public service announcements (PSAs), media interviews, billboards, bus
boards,editorials, and/or social media(if permitted by Grantee's organization policies)
specific to the State's four prevention priorities.
v. Participate in quarterly calls with System Agency to discuss the assessment the impact
of the Media Awareness Activities.
E. PRC CORE FUNCTION: COORDINATE TOBACCO-SPECIFIC PREVENTION
ACTIVITIES (TOBACCO PREVENTION CORE)
A goal of the PRCs is to strengthen compliance with existing laws on the sale of tobacco and
nicotine products to minors through education and monitoring activities.
1. Environmental and Social Policy. This strategy includes activities that center on legal
and regulatory initiatives to influence the incidence and prevalence of alcohol, tobacco
and other drug(ATOD) in the general population. Grantee will conduct tobacco-specific
prevention strategies within the PRC Tobacco Prevention Core to support the State's
efforts to comply with the Federal Synar Amendment and restrict youth access to tobacco
and other nicotine products. States may have a retail violation rate of no more than 20°x'0.
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Grantee will:
a. Conduct on-site voluntary retail compliance checks with tobacco retailers in
the region to assess compliance with State Tobacco laws regarding access,
minor tobacco purchase(buys), and signage.
b. Ensure retailers utilize the most up-to-date signage from the State
Comptroller's Office.
c. Conduct voluntary retail compliance checks with the number of tobacco
retailers in the region with the frequency described below. Grantee will report
violations to local law enforcement and/or local Comptroller offices and
document this strategy using the System Agency-generated form.
i. In PRC regions with less than 2,400 licensed tobacco retailers, Grantee
shall determine the number of active retailers and visit a minimum of 25%
of these retailers (unduplicated) each quarter. Grantee will visit 100% of
the active tobacco retailers throughout the term of the fiscal year.
ii. In PRC regions with 2,400 to 4,000 licensed tobacco retailers, Grantee
shall visit 2,000 of the active tobacco retailers in the region, throughout
the term of the fiscal year. Grantee will visit a minimum of 25% of this
number(unduplicated) each quarter.
iii. In PRC regions with more than 4,000 licensed tobacco retailers, Grantee
will visit a minimum of 210 (unduplicated) tobacco retailers per month
throughout the term of this Contract.
d. Provide retailer education in the region to tobacco retailers who require
additional information on the most current tobacco laws, especially as they
pertain to minor access. Grantee will document this activity using the System
Agency-generated form.
e. Conduct follow-up voluntary retail compliance visits with all tobacco retailers
who have been cited for tobacco-related violations and provide informational
materials regarding Texas Tobacco Laws. Grantee will document this activity
using the System Agency-generated form.
f. Participate in quarterly conference calls to include System Agency, Tobacco
Prevention Coordinator, and System Agency-funded Tobacco Contractor.
g. Conduct any additional tobacco-specific prevention activities as requested by
the System Agency to support the goals of the PRC Tobacco Prevention Core.
F. POLICY/PROCEDURAL REQUIREMENTS
Grantee will:
1. Provide PRC services in accordance with the rules in Title 25 of the Texas
Administrative Code(TAC), Chapter 447.
2. Provide prevention services in a safe, clean, well-lit, and well-maintained
environment. The site where activities will be held (including building, electrical,
lighting, plumbing, sanitation, ventilation, and mechanical systems, appliances,
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equipment, and furniture) will be structurally sound, functional, and in good repair.
The site's building and grounds will be clean and free of garbage and debris.
3. Develop and maintain current written policies and procedures for employees,
contracted labor,and volunteers who work directly or indirectly with participants.The
written policies and procedures will address participant safety and ensure that all
activities with participants are conducted in a respectful, non-threatening, non-
judgmental, and confidential manner. Grantee will maintain current policies and
procedures and make them available for review by the System Agency upon request.
4. Ensure the Prevention Program Director will conduct and document quarterly fidelity
and quality assurance checks of all required activities.
5. Ensure that the Prevention Program Director, Data Coordinator, Public Relations
Coordinator,and Tobacco Prevention Coordinator attend the System Agency Annual
Prevention Provider Meeting.
6. Ensure that the Prevention Program Director attends the System Agency's Annual
Prevention Directors' Meeting.
7. Maintain all required documentation on file and make them available for review by
the System Agency upon request.
8. Post legible prohibitions against firearms, weapons, alcohol, illegal drugs, illegal
activities, and violence in a prominent location, at program sites that do not have the
existing prohibitions posted.
9. Post the hours and days of operation at all building entrances; standard days of
operation will reflect a forty(40)-hour work week, Monday through Friday.
10. Post exit diagrams conspicuously throughout program sites (except in one-story
buildings where all exits are clearly designated as such).
l l. Ensure that all activities conducted are directly related to the activities,strategies
required in the Contract.
12. Submit any additional documents and information as requested by the System Agency
for the purpose of determining and assessing program technical assistance needs.
13. Ensure that all staff providing PRC services receives a copy of this Statement of Work
(SOW) and any renewed SOWS.
G. CRIMINAL BACKGROUND VERIFICATION REQUIREMENTS
Grantee will:
1. Not employ or allow a sub Grantee to use any individual who is on probation or parole
to deliver prevention services to youth and/or their families.
2. Prior to employment, conduct criminal background checks and pre-employment drug
testing of Grantee's potential employees and/or sub Grantees who will deliver
prevention services and/or have direct contact with youth and/or their families.
3. Conduct annual criminal background checks for Grantee's current staff andlor sub
Grantees who will deliver prevention services and:or have direct contact with youth
andfor their families.
4. Conduct criminal background checks of interns or volunteers who will deliver
prevention services and/or have direct contact with youth and/or their families.
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5. Ensure that any individual who is on probation, parole and/or is the subject of an
ongoing investigation by law enforcement is prohibited from working directly with
youth and/or their families.
6. Develop and maintain current written policies and procedures addressing the
requirements for criminal background checks as a condition for employment of
potential employees, sub Grantees, interns, and/or volunteers who work directly with
youth and/or their families.
7. Develop and maintain policies and procedures that require individuals (staff, sub
Grantees, interns, and volunteers) to notify the Grantee of an arrest, conviction,
investigation, or any other legal involvement.
8. Maintain documentation of each notification of arrest, conviction, investigation, or
any other legal involvement on file and make available to the System Agency for
review upon request.
9. Maintain documentation of each criminal background check and all drug testing on
file and make available to System Agency upon request.
H. STAFFING AND STAFF COMPETENCY REQUIREMENTS
Grantee will:
a. Within 30 days of the start date of this Contract, hire the number of prevention
program staff specified in the Grantee's response to the solicitation document, as
approved by the System Agency. This will include the following:
i. A Prevention Program Director, dedicated at a minimum of 25%, who
will ensure that contractual requirements are fulfilled and provide
oversight and coordination of prevention staff and services.They will also
participate in collaboration meetings and represent the PRC in community
activities.
ii. A Data Coordinator, dedicated at 100%, who will conduct prevention
program services focused on the Data Core requirements of this Contract.
iii. A Public Relations Coordinator, dedicated at a minimum of 50%, who
will conduct prevention program services focused on the Media and
Training Prevention Core requirements of this Contract.
iv. A Tobacco Prevention Coordinator,dedicated at a minimum of 50%,who
will conduct prevention program services focused on the Tobacco
Prevention Core requirements of this Contract.
b. Ensure that the Prevention Program Director and any individual providing
oversight is a Certified Prevention Specialist(CPS),Advanced Certified Prevention
Specialist (ALPS) or, at a minimum, an Associate Prevention Specialist (APS),
working towards CPS certification at the time of hire for this position. Those who
hold this position and possess an APS designation will obtain a CPS certification
within 12 months of employment in this position.
c. Ensure that all prevention staff employed under this contract achieves, at a
minimum, an APS designation within 20 months of employment in this program.
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i. Grantee will submit a copy of each prevention staff's designation along
with the Program Staffing Form, maintain a copy in their personnel file,
and make it available for review by the System Agency upon request.
ii. Requirements for the Certified Prevention Specialist(CPS) certification,
Advanced Certified Prevention Specialist (ACPS) certification and the
Associate Prevention Specialist (APS) designation may be obtained by
visiting the Texas Certification Board of Addictions Professionals
(TCBAP)website at www.tcbap.org.
d. Submit a Program Staffing Form to System Agency providing details of all
direct prevention program staff for the Grantee's System Agency-funded
prevention programs.
Grantee will:
i. Notify the System Agency within ten (10) business days of any
prevention program staffing changes by updating and re-submitting the
Program Staffing Form.
ii. Submit all current CPS:ACPS certifications and APS designations with
the Program Staffing Form and maintain copies for review by the System
Agency upon request.
iii. Ensure all CPS:-ACPS certifications and/or APS designations are
current or renewed within 30 days of expiration and submitted along
with the Program Staffing Form as a staffing change.
e. Ensure that the Prevention Program Director, Data Coordinator, Public Relations
Coordinator, Tobacco Prevention Coordinator, and all Prevention Specialists
complete the following required trainings:
i. Prevention Resource Center Competency Training -This required training
will be coordinated through the System Agency-funded training entity.
1) Epidemiology
2) Strategic Prevention Framework
3) Needs Assessment and Logic Models
4) Capacity Building
5) Information Dissemination
All PRC staff shall complete competency training within six (6)months from
the start date of this Contract or within six (6) months from the date of hire for
the position,whichever is later. PRC Program Director, Data Coordinator,
Public Relations Coordinator, and Tobacco Prevention Coordinator will
receive Prevention Resource Center Competency Training every three(3) years
and maintain documentation of successful completion for System Agency
review upon request.
ii. 15-Hour Prevention Skills Training (PST) — This required training will be
completed through the System Agency-funded training entity. All prevention
program staff and directors will complete the 15-hour Prevention Skills Training
(PST)within six(6)months from the date of hire.This is a one-time requirement
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for all prevention program staff and directors. This training includes a minimum
of three(3)hours in each of the following prevention-specific areas:
1) Cultural competency;
2) Risk and protective factors/building resiliency;
3) Child development and/or adolescent development, as appropriate;
4) Communication; and
5) Prevention across the lifespan.
iii. Substance Abuse Prevention Skills Training (SAPST) —This is a required
training for all prevention program staff with a minimum of 12 months'
experience delivering prevention services. Program Directors and any
individual providing oversight of prevention services will have completed the
SAPST training upon the date of hire for the supervisory position and provide
documentation to the System Agency. This is a one-time required training to
be conducted throughystem Agency-funded trainin entity. In addition,
Grantee will:
1) Ensure that all Prevention Program staff, employed under this Contract,
complete the SAPST training no later than 20 months after the date of hire
for this program.
2) Maintain a copy of employees' SAPST certification in the employees'
personnel file and make them available for review by the System Agency.
iv. Prevention Continuing Education —A minimum of 15 hours of continuing
education units (CEUs), specifically related to prevention and PRC-related
duties will be completed annually. Training will include subject matter that
addresses the six (6) Prevention Domains:
1) Planning and Evaluation;
2) Prevention Education and Service Delivery;
3) Communication;
4) Community Organization;
5) Public Policy and Environmental Change; and
6) Professional Growth and Responsibility.
In addition to the trainings listed above, training on Cultural Competence and
Prevention-related Ethics,shall be obtained annually and will be counted toward
the 15 hours of continuing education units.
Prevention Continuing Education hours may be obtained through the Annual
Prevention Provider Meeting,the Texas Behavioral Health Institute(BHI), the
annual Prevention Providers Meeting, or other entities approved by the Texas
Certification Board of Addiction Professionals (TCBAP). Information on
TCBAP- approved continuing education providers may be found on the
TCBAP website at www.tebap.org. All continuing education units shall be
obtained prior to the end of each funded fiscal year.
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V. Cardiopulmonary Resuscitation (CPR)and First Aid Certifications. Grantee
will ensure that all prevention staff complete and maintain current CPR and first
aid certifications within 60 days from the start date of this Contract or 60 days
from the date of hire for a PRC prevention position, whichever is later. All
certifications will be maintained within the employee's file and made available
for System Agency review upon request.
vi. Tobacco Law Training. Grantee will ensure that all prevention staff complete
this web-based training within 90 days of the start of this Contract or within the
first 90 days of employment on this Contract. All prevention staff will receive
this training every three (3) years during the term of this Contract. This training
will be coordinated by the System Agency.
vii. Suicide Prevention Training. Grantee's prevention staff will be required to
attend at least one suicide prevention training each year to build competence and
encourage integration of mental health promotion strategies in their work.
viii. Mental Health First Aid Training. Grantee's prevention staff will be required
to attend at least one Mental Health First Aid training to build competence and
encourage integration of mental health promotion strategies in their work. This
training shall be coordinated by the System Agency training entity.
f. Ensure that all volunteers and/or interns that assist prevention staff with any
prevention activity-'strategy, at a frequency of more than one (1) time per month,
receive and complete the following trainings below. Documentation of
completion of these trainings for System Agency review upon request will be
maintained for all ongoing volunteers and/or interns.
i. Cardiopulmonary Resuscitation (CPR) and First Aid—Grantee will ensure
volunteers;interns complete and maintain current CPR and First Aid
certifications. This is a one-time required training.
ii. Prevention Training for Volunteers — This is a one-time required training
conducted through the System Agency-funded training entity.
iii. Tobacco Law Training—This is a one-time, web-based training required for
interns and volunteers delivering prevention activities.'strategies under the
PRC contract. Intems`volunteers involved in the PRC Tobacco Prevention
Core shall complete this training prior to conducting voluntary retail
compliance checks. This training will be coordinated by the System Agency.
iv. Suicide Prevention Training. Grantee's prevention staff will be required to
attend at least one suicide prevention training each year to build competence
and encourage integration of mental health promotion strategies in their work.
V. Mental Health First Aid Training. Grantee's prevention staff will be
required to attend at least one Mental Health First Aid training to build
competence and encourage integration of mental health promotion strategies
in their work. This training shall be coordinated by the System Agency-
funded training entity.
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g. Ensure that all volunteers/interns, conducting activities with youth or adults, are
supervised and chaperoned in-person by an agency or prevention staff member.
I. GUIDANCE ON ALLOWABLE PURCHASES
1. T-shirts with a"no use" message may be purchased for participants as a way to
educate or create awareness to the harmful effects of alcohol,tobacco, and other
drugs.
2. Promote prevention messages through radio or television public service
announcements (PSAs), media interviews, billboards, bus boards, editorials,
and/or digital media including social media if permitted by Grantee's
organization policies specific to the State's four prevention priorities. Expenses
dedicated to Media Awareness Activities (including media purchases) shall
comprise at least 10%of the Grantee's annual budget.
J. CLINICAL MANAGEMENT FOR BEHAVIORAL HEALTH SERVICES (CMBHS)
COMPONENTS
1. Grantee will use the CMBHS components.'functionality specified below, in
accordance with the System Agency instructions:
i. Add/update Staff, (including access control and Credential
maintenance);
ii. Provider detail;
iii. Performance Measures;
iv. Financial Status Reports (FSR);
v. Invoices; and
vi. Curriculum Outcome Measures.
2. The use of CMBHS is not limited to the components and functionality listed above.
Grantee may be required to use other CMBHS components and meet CMBHS training
requirements per request by the System's Agency.
K. SUBMISSION SCHEDULE AND REPORTING REQUIREMENTS
Grantee will:
I. Submit all documents identified below by the dates specified by the System Agency.
2. System Agency-approved required formsitemplates are located at
http:::www.dshs.texas.gov sa/For-Substance=Abuse-Contractors.asl2x, unless
otherwise noted.
3. Grantee will submit documents to the assigned contract manager and designated
substance abuse mailbox SubstanceAbuse.Contracts@hhsc.state.tx.us and
SAPreventioni'ci;dshs.texas.gov, unless otherwise noted.
4. Grantee's duty to submit required documents will survive the termination or expiration
of this Contract.
5. Provide per request of the System Agency information and data that supports
performance measures, required reports, information or data related to the scope of
work of the Grantee solicitation document approved by the System Agency.
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Deliverables for FY 2020 Only
Report Name Due Date*
Program Staffing Form By the 30'h day after the Contract start
date.
Within 10 business days of a revision.
Copy of current CPS, ACPS, or APS By the 301h day after the Contract start
certifications/designations of the date.
Prevention Program Director and all
certified/designated prevention staff
along with the Program Staffing Form
CMBHS Security Attestation Form and March 151h and September 15'h
Listing of Authorized Users
PRC implementation Plan April 15th
PRC Mid-Year Report N,A
Regional Needs Assessment August 3151
Post Regional Needs Assessment to September 301h
website and submit email
PRC Final Report September 15th
Performance Measures 15'h of each month following the month
being reported. Submit into the
CMBHS reporting system.
Financial Status Reports (FSRs) Last business day of the month
following the end of each quarter of the
fiscal term. *FSR due is due 45 days
after the end of this fiscal term.
Closeout Documents—Annual Report 45 days after the end of this fiscal term.
*If the Due Date is on a weekend or holiday, the Due Date is the next business
day.
Deliverables for FY 2021-2024 (each year)
Report Name Due Date*
Program Staffing Form September 301h
Copy of current CPS, ACPS, or APS September 30'h
certifications/designations of the
Prevention Program Director and all
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certified/designated prevention staff
along with the Program Staffing Form
CMBHS Security Attestation Form and September 151h and March 15th
Listing of Authorized Users
PRC Implementation Plan October 15th
PRC Mid-Year Report March 31 s'
Regional Needs Assessment July 301h
Post Regional Needs Assessment to August 31st
website and submit email
PRC Final Report September 151h
Performance Measures 15'h of each month following the month
being reported. Submit into the
CMBHS reporting system.
Financial Status Reports(FSRs) Last business day of the month
following the end of each quarter of the
fiscal term. *FSR due is due 45 days
after the end of this fiscal term.
Closeout Documents—Annual Report 45 days after the end of this fiscal term.
*If the Due Date is on a weekend or holiday, the Due Date is the next business
day.
L. BUDGET REQUIREMENT FOR MEDIA AWARENESS ACTIVITIES
1. A maximum of 10% of the total PRC budget shall be spent on media awareness
activities that include both local regional media campaigns and support for the
Statewide Media Campaign.
2. Providers shall dedicate a portion of the media budget to support the Statewide Media
Campaign up to a maximum of 50%of the amount budgeted for media expenditures.
3. Media expenditures for the Statewide Media Campaign may include paid radio
and television spots and paid boosting for social media content.
4. Expenses on traditional paid media platforms include print media, radio, television,
billboards, and other posted signage or paid advertising space.
5. Expenditures on social media:
a.Approved platforms for paid social media boosting or ads include Facebook,
YouTube, and Twitter
b.Paid media boosting or ads on social media platforms or apps other than
Facebook, YouTube, or Twitter will require prior approval from HHSC.
c.Influencers— these should be used directly in conjunction with a defined media
campaign. Use of paid social media influencers as part of any media campaign
shall be approved by HHSC prior to implementation.
6. Funds may not be used to create agency logos or other forms of agency branding.
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ATTACHMENT A-1
STATEMENT OF WORK SUPPLEMENTAL
A. CONTRACT INFORMATION
Vendor ID: 1756000590-034
Grantee Name: City of Lubbock
Contract Number: HHS000749200002
Contract Type Prevention
Payment Method: Cost Reimbursement
DUNS Number: 058213893
Federal Award Identification B08TIO10051-18
Number(FAIN)
Solicitation Type: Exempt Government
B. SERVICE AREA:
Services or activities will be provided to participants and/or clients from the following
counties:
Region (1): Armstrong, Bailey, Briscoe, Carson, Castro, Childress, Cochran, Collingsworth,
Crosby, Dallam, Deaf Smith, Dickens, Donley, Floyd, Garza, Gray, Hale, Hall, Hansford,
Hartley, Hemphill, Hockley, Hutchinson, King, Lamb, Lipscomb, Lubbock, Lynn, Moore,
Motley, Ochiltree, Oldham, Parmer, Potter, Randall, Roberts, Sherman, Swisher, Terry,
Wheeler, Yoakum
C. POPULATION SERVED:
The primary target population is all System Agency-funded substance abuse prevention
providers in the region. The target population may also include school administrators and
teachers, community groups and coalitions, education services centers (ESCs), local mental
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health authorities (LMHAs), substance use disorder intervention and treatment organizations,
law enforcement, healthcare entities, higher education institutions, and community
stakeholders including youth,parents, and residents in Texas.
D. RENEWALS:
No renewal options available for this Contract.
E. CONTACT INFORMATION
Name: Carol Marshall
Email: Carol.Marsha113 hhsc.state.tx.us hhsc.state.tx.us
Telephone: 512)206-5064
Address: 909 W 451h Street, Bldg 552 MC 2058
City/Zip, Austin TX 78751
F. PERFORMANCE MEASURES
L Grantee's performance will be measured in part on the achievement of the following key
performance measures.
2. Grantee shall report these performance measures monthly through CMBHS under the
Measures component.
3. Each report is due by the 15'h of the following month for the month being reported. *If the
1 S'h falls on a weekend, the report is dere the nest business clay following the 1 S`h.
Performance Measures for FY 2020 Only
Sept- Dec- Mar- Jun- Annual
Measure: Nov Feb May Aug Gaal
Number of organizations receiving data or 0 0 60 45 105
information on other community resources.
Number of media awareness activities focused on
the State's four prevention priorities and the 0 0 10 5 15
statewide media campaign.
Number of social media messages focused on the
State's four prevention priorities and the 0 0 14 8 22
statewide media campaign.
Number of media contacts focused on the State's 0 0 5 5 10
four prevention priorities.
Number of adults attending meetings and
presentations focused on sharing and receiving 0 0 50 50 100
data.
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Number of meetings conducted with community
stakeholders focused on community 0 0 40 20 60
collaboration related to data and resources.
Number of prevention trainings coordinated 0 0 2 1 3
and/or hosted in the region.
Number of adults attending trainings coordinated 0 0 30 10 40
and/or hosted in the region.
Number of voluntary compliance checks
successfully conducted on-site with tobacco 0 0 266 266 532
retailers.
Performance Measures for FY 2021-2024 (each year)
Measure• Sept- Dec- Mar- Jun- Annual
Nov Feb May Aug Goal
Number of organizations receiving data or 60 60 60 45 225
information on other community resources.
Number of media awareness activities focused on
the State's four prevention priorities and the 10 10 10 5 35
statewide media campaign.
Number of social media messages focused on the
State's four prevention priorities and the 14 14 14 8 50
statewide media campaign.
Number of media contacts focused on the State's 5 5 5 5 20
four prevention priorities.
Number of adults attending meetings and
presentations focused on sharing and receiving 200 200 50 50 500
data.
Number of meetings conducted with community
stakeholders focused on community 45 45 40 20 150
collaboration related to data and resources.
Number of prevention trainings coordinated 4 3 2 1 10
and.`or hosted in the region.
Number of adults attending trainings coordinated 30 30 30 10 100
and/or hosted in the region.
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Number of voluntary compliance checks
successfully conducted on-site with tobacco 266 266 266 266 1064
retailers.
G. PERFORMANCE MEASURES DEFINITIONS AND GUIDANCE:
1. Number of organizations receiving data or information on other community resources
This strategy provides awareness and knowledge of alcohol, tobacco and other drug(ATOD),
abuse, issues and trends through the data collected. The information may be provided in the
form of the Regional Needs Assessment, fact sheets, data files, resources for data, and other
reports. The information may be disseminated through written communication such as
bulletins, newsletters, and survey data reports.
Guidance:
Report the number of organizations that received written informational materials such as
the Regional Needs Assessment,survey data results, etc.)
If one organization requests information for two survey reports from your PRC, you would
report one organization receiving information that month.
Organizations may only be counted once per month. To count the same organization again in
another month, new information or data shall be shared with that organization.
Information can be disseminated a number of ways, including but not limited to:
• In person presentations or meetings
• Distribution through physical mail
• Electronic Distribution(e-mail, fax, etc.)
2. Number of Media Awareness Activities focused on the State's four prevention priorities
and the statewide media campaign
Media Awareness Activities are marketing campaigns that serve the target population. This
measure is designed to capture the number of campaigns used to deliver prevention-related
messages. Content, including graphics and texts, provided through the statewide media
campaign shall not be altered or used in another form without prior System-Agency review
and written approval.
Guidance:
Report the number of messages or campaigns delivered via media.
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Each message or campaign may only be counted once. For example, if the same public service
announcement is aired twenty times by the same station, it may only be counted as one media
awareness activity.
Report only the activities that have been aired, broadcasted, or published.
Examples of Media Awareness Activities include but are not limited to:
• Television Interviews
• Media campaigns
• Public Service Announcements (PSAs)
• Billboards
• Bus boards
• Printed news articles
• Printed editorials
• Aired or printed press releases
3. Number of social media messages focused on the State's four prevention priorities and
the Statewide Media Campaign
Social Media Messages are a type of Media Awareness Activity conducted through social
media sites such as Facebook and Instagram.
Guidance:
Report the number of messages delivered through social media.
Each message may only be counted once.
All messages counted toward this measure shall focus on the state's four prevention priorities
or consist of content provided through the statewide media campaign. Content, including
graphics and texts,provided through the statewide media campaign shall not be altered or used
in any other form without prior System-Agency review and written approval.
4. Number of media contacts focused on the State's four prevention priorities
This measure is designed to capture the number of successful media contacts the Grantee has
made to various media sources (print and broadcast media) to deliver prevention-related
messages. Although many media messages designed by the Grantee may be rejected by media
sources, it is important to demonstrate that these contacts were made.
Guidance:
Report the number of newspapers, radio stations, or television stations contacted to air,
broadcast, or print a message to create awareness among the public about issues regarding
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substance related issues, trends specifically focused on the State's four prevention priorities
and the statewide media campaign. Contacts are counted whether the contact resulted in an
aired or published media message or not.
The Grantee shall document the type of contact along with a copy of the message, article, or
story submitted for broadcast or publication.
Examples of media contacts include but are not limited to:
• The number of radio stations contacted to air or broadcast a message.
• The number of television stations contacted to air or broadcast a message or story.
• The number of newspapers contacted to print an article, editorial, story, etc.
How to determine the number of contacts to report(examples):
• If the Grantee prepares and submits two public service announcements (PSAs) to six
radio stations and three television stations to air, Grantee would count eighteen
contacts.
• If the Grantee prepares and submits an editorial or print article to three different
newspapers, Grantee would count three media contacts.
5. Number of adults attending meetings and presentations focused on sharing and receiving
data
This strategy is designed to capture the number of adults attending meetings and presentations
to encourage sharing and receipt of local community, county, and regional data.
Guidance:
Report the number of adults attending meetings and presentations focused on sharing and
receiving data.
6. Number of meetings conducted with community stakeholders focused on community
collaboration related to data and resources
This strategy is designed to capture the number of meetings conducted with community
stakeholders to discuss existing local/regional survey data, data sharing, and other activities
that may enhance the data collection efforts for the region.
Guidance:
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Report the number of meetings in which your organization had a significant role in
planning, facilitating, or presenting with community stakeholders to enhance local
community, county and regional data collection efforts.
7. Number of prevention trainings coordinated and/or hosted in the region
This strategy is designed to capture the number of prevention trainings coordinated and hosted
in the region to meet the regional prevention training needs.
Guidance:
Report the number of trainings coordinated and/or hosted in the region.
8. Number of adults attending trainings coordinated and/or hosted in the region
This strategy is designed to capture the number of adults participating in trainings coordinated
and hosted in the region to meet the regional prevention training needs.
Guidance:
Report the number of trainings coordinated and/or hosted in the region.
9. Number of voluntary compliance checks successfully conducted on-site with tobacco
retailers
Definition: In order to comply with State Law and affect minor access to tobacco and other
nicotine products, voluntary compliance checks are conducted by Tobacco Specialists from
the regional Prevention Resource Center. Tobacco Specialists visit retailers who sell tobacco
and other nicotine products in their region in an attempt to provide education and guidance on
Texas Tobacco Laws,minor access,and the availability of current signage,permits,and related
materials from the Merchant Packets developed by the Texas Comptroller's Office.
Guidance:
Tobacco Specialists provide materials and information to tobacco retailers including, but not
limited to:
• Missing or outdated State-required signage and other materials from the Merchant Packets
developed and distributed by the Texas Comptroller's Office
• Current State tobacco laws including those related to minor access
• Adverse health consequences of tobacco and nicotine use among minors and adults
• The legal ramifications to retailers and clerks who improperly sell tobacco and other
nicotine products, especially to minors
• Information on cessation tools and the advertising of the State-sponsored Quit Line
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Successful compliance checks occur when the Tobacco Specialist is welcomed into a tobacco
retail store and allowed to view State required materials such as the retailer's tobacco permit
and all related warning signs and posters.
Tobacco Specialists shall conduct a follow-up visit with retailers who are found to be out of
compliance with State law during the initial compliance check. Visiting a retailer who is not
"compliant" with State law does not constitute an unsuccessful compliance check.
Grantee will report the number of retail sites successfully visited,not the number of employees
or individuals addressed during the compliance check.
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ATTACHMENT A-2
SUBSTANCE ABUSE PREVENTION AND TREATMENT SAPT
BLOCK GRANT CONTRACT SUPPLEMENT
The following are important details regarding federal award requirements for Grantees funded
with SAPT Block Grant funds:
1. The Catalog of Domestic Federal Assistance (CFDA) number for the SAPT Block Grant
is 93.959.
2. The award period covers the term identified in the Contract.
As a subrecipient of the SAPT Block Grant, the Grantee shall adhere to each of the applicable
requirements below:
45 CFR§96.127 REQUIREMENTS REGARDING TUBERCULOSIS(TB)
1. The Grantee shall, directly or through arrangements with other public or nonprofit private
entities, routinely make available the following TB services to each individual receiving
treatment for substance abuse:
a. Counseling the individual with respect to TB.
b. Testing to determine whether the individual has been infected with mycobacteria TB
to determine the appropriate form of treatment for the individual.
c. Appropriate medical evaluation and treatment for individuals infected by mycobacteria
TB.
2. For clients denied admission on the basis of lack of capacity, the Grantee shall refer such
clients to other providers of TB services.
3. The Grantee shall have infection control procedures that are consistent with those
established by Texas Department of State Health Services, Infectious Disease Control Unit,
to prevent the transmission of TB and that address the following:
a. Screening and identifying those individuals who are at high risk of becoming
infected.
b. Meeting all State reporting requirements while adhering to Federal and State
confidentiality requirements, including 42 CFR part 2.
c. Case management activities to ensure that individuals receive such services.
d. The Grantee shall report all individuals with active TB to the Texas Department of
State Health Services, Infectious Disease Control Unit,as required by State law and
in accordance with Federal and State confidentiality requirements, including 42
CFR part 2.
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CFR§96.131 TREATMENT SERVICES FOR PREGNANT WOMEN
1. The Grantee shall give preference in admission to pregnant women who seek or are referred
for and would benefit from Block Grant-funded treatment services.
2. If the Grantee serves an injecting drug-abusing population, the Grantee must give
preference to treatment as follows:
a. Pregnant injecting drug users.
b. Other pregnant substance abusers.
c. Other injecting drug users.
d. All others.
3. The Grantee shall refer pregnant women to the State when the Grantee has insufficient
capacity to provide services to any such pregnant women who seek the services of the
program.
4. The Grantee shall make interim services available within 48 hours to pregnant women
who cannot be admitted because of lack of capacity.
5. The Grantee shall offer interim services, when appropriate, that include, at a minimum',
the following:
a. Counseling and education about HIV and TB, the risks of needle-sharing, the
risks of transmission to sexual partners and infants, and steps that can be taken to
ensure that HIV and TB transmission does not occur.
b. Referral for HIV or TB treatment services, if necessary.
c. Counseling pregnant women on the effects of alcohol and other drug use on the
fetus.
d. Refer pregnant women for prenatal care.
45 CFR§96.132 ADDITIONAL REQUIREMENTS
1. The Grantee shall make continuing education in substance abuse treatment and
prevention available to employees who provide the services.
2. The Grantee shall have in effect a system to protect patient records from inappropriate
disclosure, and the system shall:
a. Comply with all applicable State and Federal laws and regulations, including 42
'Interim services may also include federally approved interim methadone maintenance
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CFR part 2
Include provisions for employee education on confidentiality requirements and the fact that
disciplinary action may occur upon inappropriate disclosure
45 CFR§96.135 RESTRICTIONS ON THE EXPENDITURE OF THE GRANT
1. The Grantee cannot expend SAPT Block Grant funds to provide inpatient hospital
substance abuse services, except in cases when each of the following conditions is met:
a. The individual cannot be effectively treated in a community-based, nonhospital,
residential treatment program.
b. The daily rate of payment provided to the hospital for providing the services does
not exceed the comparable daily rate provided by a community-based, nonhospital,
residential treatment program.
c. A physician makes a determination that the following conditions have been met:
i. The primary diagnosis of the individual is substance abuse, and the physician
certifies that fact.
ii. The individual cannot be safely treated in a community-based, nonhospital,
residential treatment program.
iii. The service can reasonably be expected to improve the person's condition or
level of functioning.
iv. The hospital-based substance abuse Contractor follows national standards of
substance abuse professional practice
d. The service is provided only to the extent that it is medically necessary (e.g., only
for those days that the patient cannot be safely treated in a residential, community-
based program)
2. Further, the Grantee cannot expend SAPT Block Grant funds to:
a. Purchase or improve land; purchase, construct, or permanently improve (other than
minor remodeling) any building or other facility; or purchase major medical
equipment.
b. Satisfy any requirement for the expenditure of non-Federal funds as a condition for
the receipt of Federal funds.
c. Provide financial assistance to any entity other than a public or nonprofit private
entity.
d. Make payments to intended recipients of health services.
e. Provide individuals with hypodermic needles or syringes.
f. Provide treatment services in penal or correctional institutions of the State
45 CFR§96.13 7 PA YMENT SCHEDULE
The Grantee shall ensure that SAPT Block Grant funds for special services for pregnant women
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and women with dependent children,TB services, and HIV early intervention services are the
"payment of last resort,"and the Grantee shall make every reasonable effort to do the following
to pay for these services:
1. Collect reimbursement for the costs of providing such services to persons entitled to
insurance benefits under the Social Security Act, including programs under Title XVIII
and Title XIX, any State compensation program, any other public assistance program for
medical expenses, any grant program, any private health insurance, or any other benefit
program.
2. Secure from individuals or clients payments for services in accordance with their ability
to pay.
Audit
The Grantee shall adhere to the following requirements:
1. If the Grantee expends $500,000 or more in Federal financial assistance during the
program's fiscal year, an independent financial and compliance audit shall be completed
by a Certified Public Accounting firm in accordance with Office of Management and
Budget(OMB)Circular A-133.The Grantee shall submit two copies of the audit report to
the State's Health and Human Services Commission Contract Oversight and Support, and
the Office of Inspector General within thirty (30) calendar days of receipt of the audit
reports required by the Independent Single or Program-Specific Audit section of the State's
General Provisions or Universal Terms and Conditions.
2. The Grantee shall also submit a data collection form and reporting package to the Federal
Audit Clearinghouse.
3. The Grantee may access the Transactions List report in the Clinical Management for
Behavioral Health Services (CMBHS) system to identify the amount of Federal Financial
Assistance included in this award by each transaction.
4. If the A-133 audit report includes findings or questioned costs,the Grantee may be required
to develop and implement a corrective action plan that addresses the audit findings and
recommendations contained therein. The Grantee shall submit the corrective action plan to
the State's Health and Human Services Commission,Office of Inspector General (OIG) by
the designated due date identified in the OIG Agency Findings Letter.
5. The Grantee shall retain records to support expenditures and make those records available
for review or audit by appropriate officials of SAMHSA,the awarding agency,the General
Accountability Office and/or their representatives.
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Salary Limitation
The Grantee cannot use the SAPT Block Grant to pay salaries in excess of Level I of the
Federal Senior Executive pay scale.
Charitable Choice
1. If the Grantee is an SAPT Block Grant-funded Grantee that is part of a faith-based
organization, the Grantee may:
a. Retain the authority over its internal governance.
b. Retain religious terms in its name.
c. Select board members on a religious basis.
d. Include religious references in the mission statements and other governing
documents.
e. Use space in its facilities to offer Block Grant-funded activities without removing
religious art, icons, scriptures, or other symbols.
2. If the Grantee is part of a faith-based organization, the Grantee cannot use SAPT Block
Grant funds for inherently religious activities such as the following:
a. Worship.
b. Religious instruction.
c. Proselytization.
3, The Grantee may only engage in religious activities listed under 2. above if both of the
following conditions are met:
a. The activities are offered separately, in time or location, from Block Grant-funded
activities.
b. Participation in the activities is voluntary.
4. In delivering services, including outreach activities, SAPT Block Grant-funded religious
organizations cannot discriminate against current or prospective program participants
based upon:
a. Religion.
b. Religious belief.
c. Refusal to hold a religious belief.
d. Refusal to actively participate in a religious practice.
5. If an otherwise eligible client objects to the religious character of the Grantee, the Grantee
shall refer the client to an alternative provider within a reasonable period of time of the
objection.
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6. If the Grantee is a religious organization, the Grantee shall:
a. Use generally accepted auditing and accounting principles to account for SAPT
Block Grant funds similar to other nongovernmental organizations.
b. Segregate Federal funds from non-Federal funds.
c. Subject Federal funds to audits by the government.
d. Apply Charitable Choice requirements to commingled funds when State/local
funds are commingled with Block Grant funds.
45 CFR§96.1261 CAPACITY OF TREATMENT FOR INTRAVENOUS SUBSTANCE ABUSERS
If the Grantee treats injecting drug users, the Grantee shall:
1. Within seven(7)days, notify the State whenever the Grantee has reached 90 percent of its
treatment capacity.
2. Admit each individual who requests and is in need of treatment for intravenous drug abuse:
a. No later than fourteen (14) days after making the request, or
b. Within 120 days of the request if the Grantee has no capacity to admit the
individual, the Grantee makes interim services available within 48 hours, and the
Grantee offers the interim services until the individual is admitted into a substance
abuse treatment program
3. Offer interim services, when appropriate, that include, at a minimum, two (2) of the
following:
a. Counseling and education about HIV and tuberculosis (TB), the risks of needle-
sharing, the risks of transmission to sexual partners and infants, and steps that can
be taken to ensure that HIV and TB transmission do not occur.
b. Referral for HIV or TB treatment services, if necessary.
c. Counseling pregnant women on the effects of alcohol and other drug use on the
fetus and referrals for prenatal care for pregnant women.
4. Maintain a waiting list that includes a unique individual identifier for each injecting drug
abuser seeking treatment, including individuals receiving interim services while awaiting
admission.
5. Maintain a mechanism that enables the program to:
Interim services may also include federally approved interim methadone maintenance
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a. Maintain contact with individuals awaiting admission.
b. Consult with the State's capacity management system to ensure that waiting list
clients are admitted or transferred to an appropriate treatment program within a
reasonable geographic area at the earliest possible time.
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ATTACHMENT B
BUDGET
A. Funding is from the United States Health and Humans Services (HHS) and the
Substance Abuse and Mental Health Services Administration (SAMSHA), which
requires compliance to 45CFR Part 96, Subpart C, as applicable: httl)s:::°ecfr.io Titic-
45;pt45.1.96�sp45.l.96.c.
B. Grantee shall comply with the requirements applicable in the Uniform Administrative
Requirements,Cost Principles, and Audit Requirements for Federal Awards,2 CFR 200,
and the Uniform Grant Management Standards (UGMS) Standards.
C. Grantee shall review and comply with the System Agency's Grants Technical Assistance
guide,which provides guidance on financial administration in order to clarify applicable
laws, rules and regulations. The Guide is located at the following:
https::/hhs.texas,gov:'doing-bujncs�-hhs grants.
D. Grantee may access the Transactions List report in CMBHS to identify the amount of
federal funds allocated to this award for each transaction.
E. The Catalog of Federal Domestic Assistance (CFDA) number for the Substance Abuse
Prevention and Treatment (SAPT) Block Grant is 93.959. The CFDA number is
identified in the CMBHS Transactions List report.
F. The Substance Abuse Prevention Treatment Block Grant, CFDA number 93.959
requires a five percent match requirement.
G. Invoice and Payment
1. Submit all monthly invoices to the System Agency through CMBHS. Grantee shall
ensure the supportive documents for the expenditures are emailed to the assigned
contract manager and copied to the Substance Use Disorder Contracts Mailbox:
SubstanceAbuse.Contracts(u ihsc.state.ta.us.
2. Be paid on a monthly basis and in accordance with services performed under this
Contract.
H. Any unexpended balance associated with any other System Agency-funded contract
may not be applied to this Contract.
I. Funding
1. System Agency Share total reimbursements will not exceed $1,250,000.00 for the
period from March 15, 2020 through August 31, 2024, as follows:
a. Fiscal Year 2020, March 15, 2020 through August 31, 2020 - $250,000.00
b. Fiscal Year 2021, September 1, 2020 through August 31, 2021 - $250,000.00
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c. Fiscal Year 2022, September 1, 2021 through August 31, 2022 - $250,000.00
d. Fiscal Year 2023, September 1, 2022 through August 31, 2023 - $250,000.00
e. Fiscal Year 2024, September 1, 2023 through August 31,2024 - $250,000.00
2. For each Fiscal Year noted in Section I, (1) (a-e), Grantee shall provide a (17%)
calculated match requirement of$41,957.00.
3. Total Contract Amounts,per fiscal year, is documented below:
a. Fiscal Year 2020, March 15, 2020 through August 31, 2020 - $291,957.00
b. Fiscal Year 2021, September 1, 2020 through August 31, 2021 - $291,957.00
c. Fiscal Year 2022, September 1, 2021 through August 31, 2022 - $291,957.00
d. Fiscal Year 2023, September 1, 2022 through August 31, 2023 - $291,957.00
e. Fiscal Year 2024, September 1, 2023 through August 31, 2024 - $291,957.00
J. Cost Reimbursement Budget
I. The Cost Reimbursement budget documents all approved and allowable
expenditures; Grantee shall only utilize the funding detailed in Attachment B for
approved and allowable costs. If Grantee requests to utilize funds for an expense
not documented on the approved budget, Grantee shall notify, in writing, the
System Agency assigned contract manager and request approval prior to utilizing
the funds. System Agency shall provide written notification regarding if the
requested expense is approved.
2. If needed, Grantee may revise the System Agency approved Cost Reimbursement
budget. The requirements are as follows:
a. Grantee is allowed to transfer funds from the budgeted direct categories only;
with the exception of the Equipment Category. Grantee may transfer up to ten
(10)percent of the Fiscal Year Contract value without System Agency approval.
Budget revisions exceeding the ten percent requirement require System
Agency's written approval.
b. Grantee may request revisions to the approved Cost Reimbursement budgeted
direct categories that exceed the ten(10) percent requirement stated in(J)(2)(a),
by submitting a written request to the assigned contract manager. This change
is considered a minor administrative change and does not require an amendment.
The System Agency shall provide written notification if the budget revision is
approved; and the assigned Contract Manager will update CMBHS, as needed.
c. Grantee may revise the Cost Reimbursement budget `Equipment' and/or
`Indirect Cost' Categories, however a formal Amendment is required. Grantee
shall submit to the assigned contract manager a written request to revise the
budget, which includes a justification for the revisions. The assigned Contract
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Manager shall provide written notification stating if the requested revision is
approved. If the revision is approved,the budget revision is not authorized, and
funds cannot be utilized until the Amendment is executed and signed by both
parties.
3. The budgeted indirect cost amount is provisional and subject to change. The System
Agency reserves the right to negotiate Grantee's indirect cost amount, which may require
Grantee to provide additional supporting documentation to the assigned contract manager.
K. Categorical Budget
1. The approved Categorical budget, per fiscal year is below:
PERSONNEL $108,465.00
FRINGE BENEFITS $52,063.00
TRAVEL $14,240.00
SUPPLIES $41,307.00
CONTRACTUAL $40,800.00
EQUIPMENT $0.00
OTHER $35,082.00
TOTAL DIRECT CHARGES $291,957.00
INDIRECT CHARGES $0.00
TOTAL CONTRACT VALUE $291,957.00
MATCH $41,957.00
SYSTEM AGENCY SHARE $250,000.00
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CONTRACT AFFIRMATIONS
By entering into this Contract,Contractor affirms,without exception,as follows:
1. Contractor represents and warrants that these Contract Affirmations apply to Contractor
and all of Contractor's principals,officers,directors,shareholders,partners,owners,
agents,employees,subcontractors,independent contractors,and any other representatives
who may provide services under,who have a financial interest in,or otherwise are
interested in this Contract and any related Solicitation.
2. Contractor represents and warrants that all statements mid information provided to HHSC.
are current,complete,and accurate.This includes all statements and information in this
Contract and any related Solicitation Response.
3. Contractor understands that HHSC will comply with the Texas Public hufornation Act
(Chapter 552 of the Texas Gover anent Code)as interpreted by judicial rulings and
opinions of the Attorney General of the State of Texas. Information,documentation,and
other material prepared and submitted in connection with this Contract or any related
Solicitation may be subject to public disclosure pursuant to the Texas Public Information
Act. In accordance«ith Section 2252.907 of the Texas Government Code,Contractor is
required to make any information created or exchanged with the State pursuant to the
Contract,and not otherwise excepted from disclosure under the Texas Public Information
Act,available in a format that is accessible by the public at no additional charge to the
State.
4. Contractor accepts the Solicitation ternns and conditions unless specifically noted by
exceptions advanced in the forms and manner directed in the Solicitation,if any,under
which this Contract was awarded.Contractor agrees that all exceptions to the Solicitation,
if any,are rejected unless expressly accepted by HHSC in Meriting.
5. Contractor agrees that HHSC has the right to use,produce,and distribute copies of and to
disclose to HHSC employees,agents,and contractors and other governmental entities all
or part of this Contract or any related Solicitation Response as HHSC deems necessary to
complete the procurement process or comply with state or federal lags.
6. Contractor generally releases from liability and waives all claims against any party
providing information about the Contractor at the request of HHSC.
7. Contractor has not given,has not offered to give,and does not intend to give at any time
hereafter any economic opportunity,future employment,gift,loan,gratuity,special
discount,trip,favor,or service to a public servant in connection with this Contract or any
related Solicitation,or related Solicitation Response.
8. Under Section 2155.004,Texas Govermnent Code(relating to financial participation in
preparing solicitations),Contractor certifies that the individual or business entity named
in this Contract and any related Solicitation Response is not ineligible to receive this
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Contract and acknowledges that this Contract may be terminated and payment withheld if
this certification is inaccurate.
9. Under Sections 2155.006 and 2261.053 of the Texas Government Code(relating to
convictions and penalties regarding Hurricane Rita,Hurricane Katrina,and other
disasters),the Contractor certifies that the individual or business entity named in this
Contract and any related Solicitation Response is not ineligible to receive this Contract
and acknowledges that this Contract may be terminated and paynnent withheld if this
certification is inaccurate.
10. Under Section 231.006(d)of the Teas Family Code regarding child support,Contractor
certifies that the individual or business entity named in this Contract and any related
Solicitation Response is not ineligible to receive the specified payment and acknowledges
that the Contract may be terminated and payment may be withheld if this certification is
inaccurate.
11. Contractor certifies that it and its principals are not suspended or debarred from doing
business with the state or federal government as listed on the State of Texas Debarred
Vendor List maintained by the Texas Comptroller of Public Accounts and the System for
Award1lanagement(SAM)maintained by the General Services Administration.This
certification is made pursuant to the regulations implementing Executive Order 12549
and Executive Order 12689,Debarment and Suspension,2 C.F.R.Part 376,and any
relevant regulations promulgated by the Department or Agency funding this project.This
provision shall be included in its entirely in Contractor's subcontracts,if any,if payment
in whole or in part is from federal funds.
12. Contractor certifies that it is not listed on the federal government's terrorism watch list as
described in Executive Order 13224.
13. Contractor represents and warrants that it is not engaged in business with Iran,Sudan,or
a foreign terrorist organization,as prohibited by Section 2252.152 of the Texas
Government Code.
14. In accordance with Section 669.003 of the Texas Government Code,relating to
contracting with the executive head of a state agency,Contractor certifies that it is not(1)
the executive head of an HHS agency,(2)a person who at any time during the four years
before the date of this Contract was the executive head of an HHS agency,or(3)a person
who employs a current or fonner executive head of an HHS agency.
15. Contractor represents and warrants that it is not currently delinquent in the payment of
any franchise takes owed the State of Texas under Chapter 171 of the Texas Tax Code.
16. Contractor agrees that any payments due under this Contract shall be applied towards any
debt or delinquency that is owed to the State of Texas.
17. Contractor represents and warrants that payments to Contractor and Contractors receipt
of appropriated or other funds under this Contract or any related Solicitation are not
prohibited by Sections 556.005,556.0055.or 556.008 of the Texas Government Code
(relating to use of appropriated money or state funds to employ or pay lobbyists,lobbying
expenses,or influence legislation).
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18. Contractor agrees to comply with Section 2155.4441 of the Texas Government Code,
requiring the purchase of products and materials produced in the State of Texas in
performing service contracts.
19. Contractor agrees that upon request of HHSC,Contractor shall provide copies of its most
recent business continuity and disaster recovery plans.
20. Contractor expressly acknowledges that state fiends may not be expended in connection
with the purchase of an automated information system unless that system meets certain
statutory requirements relating to accessibility by persons,�ti ith visual impairments.
Accordingly,Contractor represents and warrants to HHSC that the technology provided
to HHSC for purchase(if applicable under this Contract or any related Solicitation)is
capable,either by virtue of features included within the technology or because it is
readily adaptable by use with other technology,of:
•providing equivalent access for effective use by both visual and non-visual
means;
•presenting information,including prompts used for interactive communications,
in formats intended for non-visual use;and
•being integrated into networks for obtaining,retrieving,and disseminating
information used by individuals who are not blind or visually impaired.
For purposes of this Section,the phrase"equivalent access"means a substantially similar
ability to communicateµith or make use of the technology,either directly by features
incorporated within the technology or by other reasonable means such as assistive
devices or services which would constitute reasonable accommodations under the
Americans With Disabilities Act or similar state or federal laws.Examples of methods by
which equivalent access may be provided include,but are not limited to,keyboard
alternatives to mouse commands and other means of navigating graphical displays,and
customizable display appearance.
In accordance with Section 2157.005 of the Teras Government Code,the Technology
Access Clause contract provision remains in effect for any contract entered into before
September 1,2006,
21. If this Contract is for the purchase or lease of computer equipment,then Contractor
certifies that it is in compliance with Subchapter Y,Chapter 361 of the Texas Health and
Safety Code related to the Computer Equipment Recycling Program and the Texas
Commission on Environmental Quality rides in 30 TAC Chapter 328.
22. If this Conlract is for the purchase or lease of covered television equipment,then
Contractor certifies that it is compliance with Subchapter Z,Chapter 361 of the Teras
Health and Safety Code related to the Television Equipment Recycling Program.
23. Contractor represents and warrants,during the twelve(12)month period immediately
prior to the date of the execution of this Contract,none of its employees including,but
not limited to those will provide services under the Contract,was an employee of an HEIS
Agency. Pursuant to Section 2252.901,Texas Government Code(relating to prohibitions
regarding contracts with and involving former and retired state agency emplo)ees),
Contractor will not allow any former employee of the System Agency to perfonn services
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under this Contract during the twelve(12)month period immediately following the
employee's last date of employment at the System Agency.
24. Contractor acknowledges that,pursuant to Section 572.069 of the Texas Government
Code,a former state officer or employee of a state agency wlio during the period of state
service or employment participated on behalf of a state agency in a procurement or
contract negotiation involving Contractor may not accept employment from Contractor
before the second anniversary of the date the Contract is signed or the procurement is
terminated or withdrawn.
25. If this Contract is for consulting services under Chapter 2254 of the Texas Government
Code,in accordance with Section 2254.033 of the Texas Govermnent Code,Contractor
certifies that it does not employ an individual who was employed by System Agency or
another agency at any time during the two years preceding the submission of any related
Solicitation Response related to this Contract or,in the alternative,Contractor has
disclosed in any related Solicitation Response the following:(i)the nature of the previous
employment with System Agency or the other agency;(ii)the date the employment was
terminated;and(iii)the annual rate of compensation at the time of the employment was
terminated.
26. Contractor represents and warrants that it has no actual or potential conflicts of interest in
providing the requested goods or services to HHSC under this Contract or any related
Solicitation and that Contractor's provision of the requested goods and.'or services under
this Contract and any related Solicitation will not constitute an actual or potential conflict
of interest or reasonably create an appearance of impropriety.
27. Contractor understands that HHSC does not tolerate any type of fraud.The agency's
policy is to promote consistent,legal,and ethical organizational behavior by assigning
responsibilities and providing guidelines to enforce controls.Violations of la«,agency
policies,or standards of ethical conduct%%ill be investigated,and appropriate actions will
be taken.All employees or contractors%%ho suspect fraud,waste or abuse(including
employee misconduct that would constitute fraud,waste,or abuse)are required to
immediately report the questionable activity to both the Health and Human Services
Commissions Office of the Inspector General at 1-800-436-6184 and the State Audilors
Office.Contractor agrees to comply with all applicable laws,rules,regulations.and
HHSC policies regarding fraud including.but not limited to,HHS Circular C-027.
28. The undersigned affirms under penalty of perjury of the laws of the State of Texas that
(a)in connection with this Contract and any related Solicitation Response,neither I nor
any representative of the Contractor has violated any provision of file Texas Free
Enterprise and Antitrust Act,Tex. Bus.&Comm.Code Chapter 15;(b)in connection
with this Contract and any related Solicitation Response,neither I nor any representative
of the Contractor has violated any federal antitrust la,6%;and(c)neither I nor any
representative of the Contractor has directly or indirectly communicated any of tine
contents of this Contract and any related Solicitation Response to a competitor of the
Contractor or any other company,corporation,firm,partnership or individual engaged in
the same line of business as the Contractor.
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29. Contractor represents and warrants that it is not aware of and has received no notice of
any court or governmental agency proceeding,investigation,or other action pending or
threatened against Contractor or any of the individuals or entities included in numbered
paragraph 1 of these Contract Affirmations within the five(5)calendar years immediately
preceding execution of this Contract or the submission of any related Solicitation
Response that would or could impair Contractor's performance under this Contract,relate
to the contracted or similar goods or services,or otherwise be relevant to HHSC's
consideration of entering into this Contract. If Contractor is unable to make the preceding
representation and warranty,then Contractor instead represents and warrants that it has
provided to HHSC a complete,detailed disclosure of any such court or governmental
agency proceeding,investigation,or other action that would or could impair Contractor's
performance under this Contract,relate to the contracted or similar goods or services,or
otherwise be relevant to HHSC's consideration of entering into this Contract. In addition,
Contractor acknowledges this is a continuing disclosure requirement.Contractor
represents and warrants that Contractor shall notify HHSC in writing within file(5)
business days of any changes to the representations or warranties in this clause and
understands that failure to so timely update HHSC shall constitute breach of contract and
may result in immediate contract termination.
30. Contractor represents and warrants that, pursuant to Section 2270.002 of the Texas
Government Code, Contractor doss not boycott Israel and will not boycott Israel during
the term of this Contract.
31. Contractor certifies that for contracts for services, Contractor shall utilize the U.S.
Department of Homeland Security's E-Verify system during the term of this Contract t.)
determine the eligibility of:
(a) all persons employed by Contractor to perfenm duties within Teras.and
(b) all persons, including subcontractors. assigned by Contractor to perform work
pursuant to this Contract within the United States of America.
32. Contractor represents and warrants that if Contractor or Subcontractors, officers, or
employers of Contractor have access to any state computer system or database, the
Contractor, Subcontractors, officers, and employees of Contractor shall complete
cybersecurity training pursuant to acid in accordance with Government Code, Section
2054.5192.
33. Contractor understands,acknowledges,and agrees that any false representation or any
failure to comply with a representation,warrant)',or certification made by Contractor is
subject to all civil and criminal consequences provided at law or in equity including.but
not limited to,immediate tenmination of this Contract.
34. Contractor represents and warrants that it will comply with all applicable laws and
maintain all permits and licenses required by applicable city,county,state,and federal
rules,regulations,statutes,codes,and Other laws that pertain to this Contract.
35. Contractor represents and warrants that all statements and information prepared and
submitted by Contractor in this Contract and any related Solicitation Response are
current,complete,true,and accurate.Contractor acknowledges any false statement or
material misrepresentation made b}Contractor during the performance of this Contract
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or any related Solicitation is a material breach of contract and may void this Contract.
Further,Contractor understands.acknowledges,and agrees that any false representation
or any failure to comply with a representation,warranty,or certification made by
Contractor is subject to all civil and criminal consequences provided at law or in equity
including,but not limited to,immediate termination of this Contract.
36. Contractor represents and warrants that the individual signing this Contract is authorized
to sign on behalf of Contractor and to bind the Contractor
Authorized representative on behalf of Contractor must complete and sign the following:
Legal Name of Con ctor:
— L..-Ij �� March 24, 2020
Signature of Authorized Date Signed
Representative
Daniel M. Pope, Mayor
Printed Name and Title of Phone Number
Authorized Representative
Federal Employer Identification Fax Number
Number
DUNS Number Email Address
Physical Street Address City,State,Zip Code
14iailing Address,If different City,State,Zip Code
v 14
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HHSC Untorm Terms and Conditions Version 2.16
Published and Effective.March 26,2019
Responsible Office,Chief Counsel
TEXAS
Health and Human Services
Health and Human Services Commission
HHSC Uniform Terms and Conditions -Grant
Version 2.16.1
oocuSignEnvelope|0:m 14Dl2ESD
TABLF OF CONT ENT
ARTICLE D.DEFINITIONS AND INTERPRETIVE PR0V%$m0N'S...—_---............--4
1'1 Q*fm�kmm--------- ..................... ------------_ ........._--_-4
z.% bv*qnetiv* -----------------,,--------__—.—._--- -------------------------- ------6
AR11LL0KPAYMENT METHODS AND RESTRICTIONS......................................-------6
2'1 P*)vm|x&wbods..._......--------_----__-------------.......a
2.2 Fi*wBaNmB Swbmission..... ......... ......_--'--- ............................ .................7
23 Flummw|ulStatus hepmdm(Fsfts)............................--------...... ----------..r
2-4 Use o(Funids .............--......... .....___--- ......... —.........................____.............r
2.5 cst(60.bwt6P*obibJ*d....................___....................................... .........____......r
2.6 Pr %mmIncomw....................____......—....................................................................7
%J Nomm"pp1oyting.................-------------------------- ..........----------*
2-8 Allowable co"iy—---------------------------------------------......... ----_—.—.p
2.9 bndirc��cCoo Rates .......... .. .......... ............... . ................. ................ ......
--_—..#
ARTICLE fill.STATE AND FEDERAL FUNDING—.....................-----............----.8
3.1 Fmnd|ug............. ............................. ---------- ............... ----- .............#
12 No Debt Apio* Wt8uwt.............-------_--_---------_---------------&
3,3 I4Mnmd Del ......------ .......---............. ........ ----...... 8
14 Bo;q*"rcmfFunds............ ..........------ ......... ----_.......... -- ..............8
AMCL0IV.ALLMAB&000STS AND A[D0T REQUIRENLQN7S............................9
4-L AW*w*b*C*w!i. ..............................—'—_'-- ------------ ............. ' ........_—'—e
4.2 AxAft af3d sulmnrww—.......................-------------......................................l0
4.3 8obni`"i`.`,v[.�"di`� and fiu«ocim1Simtemenuu— ....................................—............
[i
ART ICL8V.AFF/R`ml |n':N 6�,ANSI kALmCE8AND C0RTXD]C4T%ON'9------- 11
5A Genual affin,zat,uim........... .....--- ----- -----------------............ —_— ix
5.2 Fa*ra|Aasmmmmx............ ..................' .........—....... --------- ....—_--.. L1
5.3 Fedem|C*rtifwafikmn ....................---------------------__--.-- Al
ARTICLE V1.1NT0L&KclI AL.pRorear|z.........._—_--_---. .......... __---' A1
8^1 Q~nwrs6pof Work r,*dnu ...... ....................—_—.... ...... —....... —...—----...... 11
6_2 (3"rtM vv^.,ks ....... ---_--_.--------......—....................i%
6-3 *po**mr13will)Employees OM&4**mmrmxwm ............ -----__........---.. 12
6.4 Delivery Upon Twnminal|onor Expiration ......................................... — ................ i2
6-3 Survival....... ........ ................................ —............... -----................................ L2
Ivp. / w1,m,!,-:"m11^''44411=n
PX-LJ'_wM
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DocuSign Envelope ll)�Al 14m2E5D
ARTIC~EVIL RECORDS,AUDIT,AND DMCLM0RE_ .......................... —........... 13
31 Bmok»mnd kw*rdm.............................................._— ......... ................................ ]3
7.2 Aoomumlt**v*&,Books'*ACw'm*m*...... ... ---......... -- ..................—|3
7.3 wN^A"dhurbuTediomFiridbni=..... -- ......____.............l3
l4 SAO Audit........................---_—_--_—_------'---.------ ... |4
7.5 ................--............ 14
ARTmCLDVax. roNTDLACTMANA0ERmuNFANDEARLY TERMINATION............ i4
8.1 C*utro» k,n�:dics_........ — .........................___-----____...............____ |4
8.2 Teonio01i=p»vcpu,m1iV.,,* .......... ............... —.................. ---......____...... i4
�_3 Tem/inalion for r*ws� ................................................. ...... ---...—...—_.......... [4
ARTICLE IX.MK0CEz.[aK F,o[S' pBOVUAHON'&------_---- ................ ........... A3
9-1 Arn*mhmeo^--................................ ..................................... ...................... ...... V5
92 ]us"racce ................................................................................. ...........__----------- l5
9.9 ob|4gati"n ................................— .......................... ........................................ 15
9.4 Ponnioinj�umo |i6wm"re. .................... ... .. ... ....................... ....... .......................... 16
9.5 1n«+nojjjy......... ..........................................----_— ...... ................ -----' 1G
xm /e,/Pum"Is.... --___--- ------_ ........_----------'---....... ]�
9-7 [11J.-p*na /tc*m|n*ctor.........---........--- ... ... ......----------_ .......... |r
e8 T,!LhniLJ|nuLian*�Itvlan.......---.... _............_--_'_— ...... ... ....... ..... |r
9sDi"xuQwvkukon........................................................ ......... --........................... 1y
9.10 Gov*ndngLaw and Yenw................... --------------------- ...... |r
9.11 8*v*rabiUxy ...... ...........___ ...............................-------- ----------------------- ............. 17
9.12 Survivability-----------___................................................................. —_—_ ..... io
9�|3 Por**M**urt............... —..........-- ... .........._--........--_—_-....... ....... ' Us
9.14 N*Waiver o[ProvimiOo ............— ...................-----.—.................... ---------- 1A
9.I5 h6Umky— ..... .... ...---......— .......... ------- '---' l¢
9,1,C) N*bibNvnvnxun'cvoq.-Ole R~,-thk1kQM...—__—_—_ ......----- ................. 19
9,17 Hop/OkjvICrammw rcimmImmmo; ......... .__— ...... ----_—_'------... 19
9.18 Entire Cnnxaci cin ii Mkodifi vuion....... ......... --- ..............—..............---....... 19
9.19 C*wwteqvAiM...................._—_.---------_— ......... ----------------------'10
9-20 Pnop* A"u*w�y....................-----_--._--------'—_—................ ...19
9.11 FVmdfy Prn8ram--..................—.........------- ---------------.............................l9
9.22 Civil Rights'---'—.......'_—_......--- .......... —........... ...... ....-------.. i9
9.23 System Agency Nta................. .........'---_-- ......---- .......------ ----2i
Ili/'Mma"ll,~*`��wm
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ARTICLE I.DEFINITIONS AND INTERPRETIVE PROVISIONS
1.1 DEFINITIONS
As used in this Contract,unless the context clearly indicates otherwise,the following terms
and conditions have the meanings assigned below:
":Unendment"means a written agreement,signed by lite Patties,which documents changes
to the Contract other than those permitted by Work Orders or Technical Guidance Letters.
"AttaclmtenC means documents,terms,conditions,or information added to this Contract
following the Signature Document or included by reference, and made a part of this
Contract.
"Contract"means the Signature Document,these Uniforn Terns and Conditions,along with
any Attachments,and any Amendments,or Technical Guidance Letters that may be issued
by the System Agency,to be incorporated by reference for all purposes.
"Deliverable"means the work product(s). including all reports and project documentation,
required to be submitted by Grantee to the System Agency.
"Effective Date"means the date agreed to by the Parties as the date on which the Contract
takes effect.
"Federal Fiscal Year"means the period beginning October 1 and ending September 30 each
year,which is tine annual accounting period for the United States government.
"GAAP"mcans Generally Accepted Accounting Principles.
"GASB"means the Governmental Accounting Standards Board.
"Grantee"means the Party receiving funds under this Contract. May also he referred to as
"Contractor"in certain attachments.
"Health and Hunnan Services Commission" or"HHSC" means the administrative agency
established under Chapter 531,Texas Government Code,or its designee.
"IIUB" means Historically Underutilized Business, as defined by Chapter 2161 of the
Texas Government Code.
"Intellectual Property Ri- ts"means the worldwide proprietary rights or interests,including
patent,copyright,trade secret,and trademark rights, as such right may be evidenced by or
embodied in:
i. any idea, design concept, personality right, method.process,technique, apparatus,
invention,discovery,or improvement;
ii. any work of authorship, including any compilation.computer code,website or web
page design,literary work,pictorial work,or graphic work;
iii. any trademark,service mark,trade dress,trade name.. branding,or other indicia of
source or origin;
iv. domain name registrations;and
v. any other proprietary or similar rights. The Intellectual Property Rights of a Party
include all worldwide proprietary rights or interests that the Party may have acquired
by assignment,by exclusive license,or by license with the right to grant sublicenses.
1IIIa[.lfF:tlllcct.IISC_ n I^ILlf+:lilt..,
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"Mentor Protzez' means the Comptroller of Public Accounts' leadership program found
at:http: www.t}indow.state.ax.us.procurement prog-rhub.mentorprotege'.
"Parties"means the System Agency and Grantee,collectively.
"Parts'"means either the System Agency or Grantee,individually.
"Pro2yarn" means the statutorily authorized activities of the System Agency under which
this Contract has been awarded.
"Proieet'means specific activities of the Grantee that are supported by funds provided under
this Contract.
"Public Information Act"or"PIA"means Chapter 552 of the Texas Government Code.
"Signature Document"means the document executed by both Parties that specifically sets
forth all of the documents that constitute the Contract.
"Solicitation" or "Request for Ayplications RrA " means the document (including all
amendments and attachments) issued by the System Agency under which applications for
Program funds were requested, which is incorporated by reference for all purposes in its
entirety.
"Solicitation Response" or "Application" means Grantee's full and complete response
(including any attachments and addenda) to the Solicitation, which is incorporated by
reference for all purposes in its entirety.
"State Fiscal Year"means the period beginning September 1 and ending August 31 each
year,which is the annual accounting period for the State of Texas.
"State of Texas TextrmvP'means Teras Administrative Code,Title 34, Part 1. Chapter 5,
Subchapter C,Section 5.22,relative to travel reimbursements under this Contract,if any.
"Statcnient of Work"means the description of activities performed in completing the Project,
as specified in the Contract and as mar be amended.
"5�stcnn A enc}"means HHSC or any of the agencies of the State of Texas that are overseen
by HHSC under authority granted under State law and the officers,employees,authorized
representatives and designees of those agencies. These agencies include: HHSC and the
Department of State Health Services.
"Technical Guidancc Letter"or"Til:'means an instnrction,clarification,or interpretation
of the requirements of the Contract,issued by the System Agency to the Grantee.
"Work Product" means any and all works, including work papers, notes, materials,
approaches, designs, specifications, systems, innovations, improvements, inventions,
software, programs, source code, documentation, training materials, audio or audiovisual
recordings, methodologies, concepts, studies, reports, whether finished or unfinished, and
whether or not included in the deliverables, that arc developed, produced, generated or
provided by Grantee in connection with Grantee's perfornnance of its duties under the
Contract or through use of any finding provided under this Contract.
"Unifornn Grant Management Standards" or "UGRIS" means unifonn grant and contract
administration procedures, developed under the authority of Chapter 783 of the Texas
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Government Code,to promote the efficient use of public funds in local govermnent and in
programs requiring cooperation among local,state,and federal agencies.
1.2 INTERPRETIVE PROVISIONS
A. The meanings of defined terns include the singular and plural forms.
B. The words "hereof," "herein," "hereunder," and similar words refer to this Contract
as a whole and not to any particular provision,section,Attachment,or schedule of this
Contract unless otherwise specified.
C. The term "including" is not limiting and means "including without limitation" and,
unless otherwise expressly provided in this Contract,(i)references to contracts(including
this Contract) and other contractual instruments shall be deemed to include all
subsequent Amendments and other modifications, but only to the extent that such
Amendments and other modifications are not prohibited by the terms of this Contract,
and (ii) references to any statute or regulation are to be construed as including all
statutory and regulatory provisions consolidating.amending,replacing,supplementing,
or interpreting the statute or regulation.
D. Any references to"sections,""appendices,"or"attachments"are references to sections,
appendices,or attachments of the Contract.
E. Any references to agreements,contracts,statutes,or administrative rules or regulations
in the Contract are references to these documents as amended, modified, or
supplemented from time to time durutg the term of the Contract.
F. The captions and head'urgs of this Contract are for convenience of reference only and do
not affect the interpretation of this Contract.
G. All Attachments, including those incorporated by reference, and any Amendments are
considered part of the terms of this Contract.
4I, This Contract may use several different limitations, regulations,or policies to regulate
the same or similar matters. All such limitations, regulations, and policies are
cumulative and each will be perforated in accordance with its terms.
I. Unless otherwise expressly provided,reference to any action of the System Agency or
by the System Agency by way of consent, approval, or %%giver will be deemed
modified by the phrase"in its sole discretion"
J. Time is of the essence in this Contract.
ARTICLE 111.PAYMENT METHODS AND RESTRICTIONS
2.1 PAYMENT METHODS
A. Except as otherwise provided by this Contract,the payment method will be one or more
of the following:
i. Cost Reimbursement. This payment method is based on an approved budget and
submission of a request for reimbursement of expenses Grantee has incurred at the
time of the request;
ii. Unit ratelfee-for-service.This payment method is based on a fixed price or a specified
rate(s) or fee(s) for delivery of a specified unit(s) of serice and acceptable
submission of all required documentation,forms and or reports;or
iii. Advance payment. This payment method is based on disbursal of the minimum
necessary funds to carry out the Program or Project %4here the Grantee has
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implemented appropriate safeguards. 'Ibis payment method will only be utilized in
accordance with governing law, state and federal regulations, and at the sole
discretion of the System Agency.
B. Grantee shall bill the System Agency in accordance with the Contract.Unless otherwise
specified in the Contract,Grantee shall submit requests for reimbursement or payment
monthly by the last business day of the month following the month in which expenses
were incurred or services provided. Grantee shall maintain all documentation that
substantiates invoices and make the documentation available to the System Agency upon
request.
2.2 FINAL BILLING SUBMISSION
Unless otherwise provided by the System Agency, Grantee shall submit a reimbursement
Or payment request as a final close-out invoice not later than forty-five(45)calendar days
following the end of the term of the Contract. Reimbursement or payment requests received
after the deadline may not be paid.
2.3 FINANCIAL STATUS REPORTS(FSR%)
Except as otherwise provided,for contracts«ith categorical budgets,Grantee shall submit
quarterly FSR&to System Agency by the last business day of the month following the end
of each quarter for System Agency review and financial assessment. Grantee shall submit
the final FSR no later than forty-five(45)calendar days following the end of the applicable
term.
2.4 USE OF FUNDS
Grantee shall expend funds under this Contract only for approved sen ices and for reasonable
and allowable expenses directly related to those services.
2.5 USE FOR MATCH PROHIBITED
Grantee shall not use funds provided under this Contract for matching purposes in securing
other funding without the N%ritten approval of the System Agency.
2.6 PROGRAM INCOME
Income directly generated from funds provided under this Contract or earned only as a result
of such funds is Program Income. Unless otherwise required under the Program, Grantee
shall use Program Income, as provided in UGAIS Section 111, Subpart C. .25(8)(2), to
further the Program, and Grantee shall spend the Program Income on the Project. Grantee
shall identify and report Program Income in accordance with the Contract,applicable]anti,
and any programmatic guidance.Grantee shall expend Program Income during the Contract
term, when earned, and may not carry Program Income forward to any succeeding tern.
Grantee shall refund Program Income to the System Agency if the Program Income is not
expended in the tern in which it is earned. The System Agency may base future funding
levels, in part,upon Grantee's proficiency in identifying. billing,collecting, and reporting
Program Income,and in using Program Income for the purposes and under the conditions
specified in this Contract.
111 hc'lFtant c l:wl`crm"l:nn.aid Con h6ow,
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2.7 NONSUPPLANTING
Grant funds may be used to supplement existing,new or corresponding programming and
related activities.Grant funds may not be used to supplant(replace)existing funds in place
to support current programs and related activities.
2.$ALLOWABLE COSTS
Allowable Costs are restricted to costs that comply with the Texas Uniform Grant
Management Standards(UGMS)and applicable state and federal rules and law. The Parties
agree that all the requirements of the UGhIS apply to this Contract,including the criteria for
Allowable Costs. Additional federal requirements apply if this Contract is funded,in whole
or in part,with federal funds.
2.9 INDIRECT COST RATES
The System Agency may acknowledge an indirect cost rate for Grantees that is utilized for
all applicable contracts. Grantee will provide the necessary financial documents to determine
the indirect cost rate in accordance with the Uniform Grant Guidance(UGG)and Uniform
Grant Management Standards(UGNIS).
ARTICLE III.STATE AND FEDERAL FUNDING
3.1 FUNDING
This Contract is subject to termination or cancellation,without penalty to System Agency,
either in whole or in part,subject to the availability of state funds. System Agency is a state
agency whose authority and appropriations are subject to actions of the Texas Legislature. If
System Agency becomes subject to a legislative change,revocation ofstatutory authority,or
lack of appropriated funds that would render either System Agency's or Grantee's delivery
or performance under the Contract impossible or unnecessary, the Contract will be
terminated or cancelled and be deemed null and void. hl the event of a termination or
cancellation under this Section, System Agency will not be liable to Grantee for any
damages,that are caused or associated with such termination, or cancellation, and System
Agency will not be required to give prior notice.
3.2 NO DEBT AGAINST THE STATE
This Contract will not be construed as creating any debt by or on behalf of the State of Texas.
3.3 DEBT AND DELINQUENCIES
Grantee agrees that any payments due under the Contract shall be directly applied towards
eliminating any debt or delinquency it has to the State of Texas including,but not limited to,
delinquent taxes,delinquent student loan payments,and delinquent child support.
3.4 RECAPTURE OF FUNDS
A. At its sole discretion,the System Agency may i)«Ithhold all or part of any payments to
Grantee to offset overpayments,unallowable or ineligible costs made to the Grantee,or
if any required financial status report(s)is not submitted by the due date(s),or ii)require
Grantee to promptly refund or credit-within thirty(30)calendar days of written notice-
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any funds erroneously paid by System Agency which are not expressly authorized under
the Contract.
B. "Overpayments" as used in this Section include payments (i) made by the System
Agency that exceed the maximum allowable rates;(ii)that are not allowed under applicable
la%vs, rules, or regulations; or (iii) that arc otherwise inconsistent with this Contract,
including any unapproved expenditures.Grantee understands and agrees that it will be
liable to the System Agency for any costs disallowed pursuant to financial and
compliance audit(s)of funds received under this Contract. Grantee further understands
and agrees that reimbursement of such disallowed costs shall be paid by Grantee from
funds which were not provided or otherwise made available to Grantee under this
Contract.
ARTICLE IV.ALLOWABLE COSTS AND AUDIT REQUIREIMENTS
4.1 COSTS
A. System Agency will reimburse the allowable costs incurred in performing the Project that
are sufficiently documented. Grantee must have incurred a cost prior to claiming
reimbursement and within the applicable term to be eligible for reimbursement under
this Contract. At its sole discretion. the System Agency will determine whether costs
submitted by Grantee are allowable and eligible for reimbursement. The System Agency
may take repayment (recoup) from funds available under this Contract in amounts
necessary to fulfill Grantee's repayment obligations. Applicable cost principles, audit
requirements,and administrative requirements include,but are not limited to:
Applicable Entity Applicable Cost Audit Administrative
Principles Requirements Requirements
State,Local,and 2 CFR Part 200 and 2 CFR Part 200, 2 CFR Part 200 and
Tribal UGMS Subpart F and UGNIS
Governments UGNIS
Educational 2 CFR Part 200 and 2 CFR Part 200, 2 CFR Part 200 and
Institutions UGIMS Subpart F and UGNIS
UGXIS
Non-Profit 2 CFR Part 200 and 2 CFR Part 200, 2 CFR Part 200 and
Organizations UGMS Subpart F and UGNIS
UGMS
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For-profit 48 CFR Part 31, 2 CFR Part 200, 2 CFR Part 200 and
Organization Contract Cost Subpart F and UGh4S
other than a Principles and UGLiS
hospital and an Procedures,or
organization Uniform cost
named i1m OMB accounting
Circular A-122 standards that
(2 CFR Part, comply with cost
230)as not principles
subject to that acceptable to the
circular. federal or state
awarding agency
B. OMB Circulars will be applied with the modifications prescribed by UGhiS with effect
given to whichever provision imposes the more stringent requirement in the event of a
conflict.
4.2 AUDITS AND FINANCIAL STATENIE\TS
A. Audits
i. HHS Single Audit Unit will notify Grantee to complete the Single Audit
Determination Form.If Grantee fails to complete the form within thirty(30)calendar
days after receipt of notice,Grantee w ill be subject to the sanctions and remedies for
non-compliance with this Contract.
ii. If Grantee,within Grantee's fiscal year,expends at least SEVEN HUNDRED FIFTY
THOC"SAND DOLLARS($750,000)in federal funds awarded,Grantee shall have a
single audit or program-specific audit in accordance with 2 CFR 200. The federal
threshold amount includes federal funds passed through by way of state agency
awards.
iii. If Grantee,within Grantee's fiscal year,expends at least SEVEN HUNDRED FIFTY
THOUSAND DOLLARS (5750,000) in state finds awarded, Grantee shall have a
single audit or program-specific audit in accordance with UGl11S, State of Texas
Single Audit Circular.The audit must be conducted by an independent certified public
accountant and in accordance w ith 2 CFR 200,Goverment Auditing Standards,and
I"G41S.
iv. For-profit Grantees whose expenditures meet or exceed the federal or state
expenditure thresholds stated above shall follow the guidelines in 2 CFR 200 or
VG41S,as applicable,for their program-specific audits.
v. Each Grantee that is required to obtain a single audit must competitively re-procure
single audit services once every six years. Grantee shall procure audit services in
compliance with this section, state procurement procedures, as well as with the
provisions of UGMS.
B. Financial Statements
Each Grantee that does not meet the expenditure threshold for a single audit or program-
specific audit,must provide financial statements.
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4.3 SUBMISSION OF AUDITS AND FINANCIAL STATEMENTS
A. Audits
Due the earlier of 30 days after receipt of the independent certified public accountant's
report or nine months after the end of the fiscal year.Grantee shalt submit electronically
one copy of the single audit or program-specific audit to the System Agency via:
i. HMS portal at:or,
https::hllcportal.hhs.state.tx.us:heartwebextr hhscSau
ii. Email to:single.audit reportit;hhsc.state.tx.us.
B. Financial Statements
Due no later than nine months after the Grantee's fiscal year end,Grantees which are not
required to submit an audit,shall submit electronically financial statements via:
i. HHS portal at!
httns: hhsyoital.libs.state.tx.us.'heartwebextr lihseSau;or,
ii. Email to:single audit_report{ hhse.state.tx us
ARTICLE V.AFFIRMATIONS,ASSURANCES AND CERTIFICATIONS
5.1 GENERALAFFIR\IATIONS
Grantee certifies that,to the extent General Affirmations are incorporated into the Contract
under the Signature Document,the Grantee has reviewed the General Affirmations and that
Grantee is in compliance with all requirements.
5.2 FEDERAL ASSURANCES
Grantee further certifies that, to the extent Federal Assurances are incorporated into the
Contract under the Signature Document, the Grantee has reviewed the Federal Assurances
and that Grantee is in compliance with all requirements.
5.3 FEDERAL CERTIFIC:ATIONS
Grantee further certifies that,to the extent Federal Certifications are incorporated into the
Contract under the Signature Document, the Grantee has reviewed the Federal
Certifications and that Grantee is in compliance with all requirements.In addition. Grantee
certifies that it is in compliance with all applicable federal laws,rules.and regulations,as they
may pertain to this Contract.
ARTICLE VI.INTELLECTUAL PROPERTY
6.1 OWNERSHIP OF WORK PRODt CT
All right,title,and interest in the Work Product, including all Intellectual Property Rights
therein,is exclusively owned by System Agency.Grantee and Grantee's employees w ill have
no rights in or ownership of the Work Product or any ether property of System Agency.Any
and all Work Product that is copyrightable under Vnited States copyright law is deemed to
be"work made for hire"owned by System Agency,as provided by Title 17 of the United
States Code. To the extent that Nk'a.rk Product does not qualify as a"work made for hire"
under applicable federal law, Grantee hereby irrevocably assigns and transfers to System
Agency, its successors and assigns,the entire right, title, and interest in and to the Work
Product, including any and all Intellectual Property Rights embodied therein or associated
111111 lliu[ll:�.Unir in'enn-:.ud L.an bfion,
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therewith, and in and to all works based upon, derived from, or incorporating the Work
Product,and in and to all income,royalties,damages,claims and payments now or hereafter
due or payable with respect thereto,and in and to all causes of action,either in law or in
equity for past,present or future infringement based on the copyrights,and in and to all rights
corresponding to the foregoing. Grantee agrees to execute all papers and to perform such
other property rights as System Agcncy may deem necessary to secure for System Agency
or its designee the rights herein assigned. In the event that Grantee has any rights in and to
the Work Product that cannot be assigned to System Agency, Grantee hereby grants to
System Agency an exclusive, worldwide, royalty-free, transferable, irrevocable, and
perpetual license, with the right to sublicense, to reproduce, distribute, modify, create
derivative works of,publicly perform and publicly display,make,have made,use,sell and
offer for sale the Work Product and any products developed by practicing such rights.
6.2 GRANTEE'S PRE-EXISTING NVORKS
To the extent that Grantee incorporates into the Work Product any works of Grantee that
were created by Grantee or that Grantee acquired rights in prior to the Effective Date of this
Contract ("Incorporated Pre-existing NVorks"), Grantee retains ownership of such
Incorporated Pre-existing Works, and Grantee hereby grants to System Agency an
irrevocable,perpetual,non-exclusive,royalty-free,transferable,worldwide right and license,
with the right to sublicense, to use, modify, copy, create derivative works of, publish,
publicly perforni and display.sell,offer to sell,make and have made,the Incorporated Pre-
existing Works, in any medium. with or without the associated Work Product. Grantee
represents,warrants,and covenants to System Agency that Grantee has all necessary right
and authority to grant the foregoing license in the Incorporated Pre-existing Works to System
Agency.
6.3AGREENIEws Wmi EMPLOYEES AND SUBCONTRACTORS
Grantee shall have written, binding agreements with its employees and subcontractors that
include provisions sufficient to give effect to and enable Grantee's compliance with
Grantee's obligations under this Article VI.
6.:1 DELIVERY UPON TERmiNATION OR EXPIRATION
No later than the first calendar day after the termination or expiration of the Contract or upon
System Agency's request,Grantee shall deliver to System Agency all completed,or partially
completed,Work Product, including any Incorporated Pre-existing Works,and any and all
versions thereof.Grantee's failure to timely deliver such Work Product is a material breach
of the Contract.Grantee will not retain any copies of the Work Product or any documentation
or other products or results of Grantee's activities under the Contract without the prior written
consent of System Agency.
6.5 SURVIVAL
The provisions and obligations of this Article VI survive any IMIlination or expiration of
the Contract.
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ARTICLE Vp.RECORDS,AUDIT,AND DISCLOSURE
7.1 BOOKS AND RECORDS
Grantee shall keep and maintain under GAAP or GAS13, as applicable, frill, true, and
complete records necessary to fully disclose to the System Agency, the Texas State
Auditor's Office, the United States Government, and their authorized representatives
sufficient information to determine compliance with the terms and conditions of this Contract
and all state and federal rules,regulations,and statutes. Unless otherwise specified in this
Contract,Grantee shall maintain legible copies of this Contract and all related documents
for a minimum of seven(7)years after the termination of the Contract period or seven(7)
years after the completion of any litigation or dispute involving the Contract,whichever is
later.
7.2 ACCESS TO RECORDS,BOOKS,AND DOC[IAIENTS
In addition to any right of access arising by operation of law. Grantee and any of
Grantee's affiliate or subsidiary organizations, or Subcontractors shall permit the System
Agency or any of its duly authorized representatives, as well as duly authorized federal,
state or local authorities, unrestricted access to and the right to examine any site where
business is conducted or services are perforated, and all records, which includes but is not
limited to financial,client and patient records, books, papers or documents related to this
Contract. If time Contract includes federal funds, federal agencies that shall have a right
of access to records as described in this section include. the federal agency providing the
funds, the Comptroller General of the United States.the General Accounting Office, the
Office of the Inspector General, and any of their authorized representatives. In addition,
agencies of the State of Texas that shall have a right of access to records as described in
this section include: the System Agency, HHSC. HHSC's contracted examiners,the State
Auditor's Office, the Office of the Texas Attomcy General, and any successor agencies.
Each of these entities may be a duly authorized authority.If deemed necessary by the System
Agency or any duly authorized authority, for the purpose of investigation or hearing,
Grantee shall produce original documents related to this Contract.The System Agency and
any duly authorized authority shall have the right to audit billings both before and after
payment, and all documentation that substantiates the billings. Grantee shall include this
provision concerning the right of access to, and examination of, sites and information
related to this Contract in anv Subcontract it awards.
7.3 RESPONSEICOMPLIANCE WITH AUDIT OR INSPECTION FINDINGS
A Grantee must act to ensure its and its Subcontractors' compliance with all corrections
necessary to address any finding of noncompliance with any law, regulation, audit
requirement, or generally accepted accounting principle, or any other deficiency
identified in any audit, review, or inspection of the Contract and the services and
Deliverables provided. Any such correction%%ill be at Grantee's or its Subcontractor's
sole expense. Whether Grantee's action corrects the noncompliance shall be solely the
decision of the System Agency.
B. As part of the services, Grantee roust provide to HIISC upon request a copy of those
portions of Grantee's and its Subcontractors'internal audit reports relating to the services
and Deliverables provided to the State under the Contract.
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7.4 SAO AUDIT
A. The state auditor may conduct an audit or investigation of any entity receiving finds from
the state directly under the Contract or indirectly through a subcontract under the
Contract. The acceptance of funds directly under the Contract or indirectly through a
subcontract under the Contract acts as acceptance of the authority of the state auditor,
under the direction of the legislative audit committee,to conduct an audit or investigation
in connection with those fiords.Under the direction of the legislative audit committee,an
entity that is the subject of an audit or investigation by the state auditor must provide the
state auditor with access to any information the state auditor considers relevant to the
investigation or audit.
B. Grantee shall comply with any odes and procedures of the state auditor in the
implementation and enforcement of Section 2252.154 of the Texas Government Code
7.5 CONFIDENTIALITY
Grantee shall maintain as confidential,and shall not disclose to third parties without System
Agency's prior written consent,any System Agency information including but not limited to
System Agency's business activities, practices, systems, conditions and services. This
section will survive termination or expiration of this Contract.
ARTICLE VIII.CONTRACT REMEDIES AND EARLY TERMINATION
8.1 CONTRACT REMEDIES
To ensure Grantee's full performance of the Contract and compliance witlm applicable
law,the System Agency reserves the right to hold Grantee accountable for breach of contract
or substandard performance and may take remedial or corrective actions,including,bill not
limited to:
i suspending all or part of the Contract;
ii. requiring the Grantee to take specific actions in order to remain in compliance with
the Contract;
iii. recouping payments made by the System Agency to the Grantee found to be in error;
iv, suspending, limiting,or placing conditions on the Grantee's continued performance
of the Project;
v. imposing any other remedies,sanctions or penalties authorized under this Contract or
permitted by federal or state statute,law,regulation or rule.
8.2 TERMINATION FOR CONVENIENCE
The System Agency may terminate the Contract at any time when, ht its sole discretion,
the System Agency determines that tennination is in the best interests of the State of
Texas. The termination will be effective on the date specified in HHSC's notice of
termination. The System Agency's right to terminate the Contract for convenience is
cumulative of all rights and remedies nhich exist now or in the fiiture.
8.3 TERMINATION FOR CAUSE
Except as otherwise provided by the 1'.S. Bankruptcy Code, or any successor law, the
System Agency may terminate the Contract,in whole or in part,upon either of the following
conditions:
Mist:
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i. Material Breach
The System Agency will have the right to terminate the Contract in whole or
in part if the System Agency determines, in its sole discretion, that Grantee has
materially breached the Contract or has failed to adhere to any laws, ordinances,
rules, regulations or orders of any public authority having jurisdiction and such
violation prevents or substantially impairs performance of Grantee's duties under the
Contract. Grantee's misrepresentation in any aspect of Grantee's Solicitation
Response,if any,or Grantee's addition to the Excluded Parties List System(EPLS)
will also constitute a material breach of the Contract.
ii. Failure to Maintain Financial Viability
The System Agency may terminate the Contract if,in its sole discretion,the System
Agency has a good faith belief that Grantee no longer maintains the financial
viability required to complete the services and Deliverables, or otherwise fully
perform its responsibilities under the Contract.
ARTICLE IX.MISCELLANEOUS PROVISIONS
9.1 AMENDMENT
The Contract may only be amended by an Amendment executed by both Parties.
9.2 INSURANCE
A. Unless otherwise specified in this Contract,Grantee shall acquire and maintain, for the
duration of this Contract, insurance coverage necessary to ensure proper fulfillment
of this Contract and potential liabilities thereunderwith financially sound and reputable
insurers licensed by the Texas Department of insurance, in the type and amount
customarily carried within the industry as determined by the System Agency. Grantee
shall provide evidence of insurance as required underthis Contract,including a schedule
of coverage or underwriter's schedules establishing to the satisfaction of the System
Agency the nature and extent of coverage granted by each Such policy, upon request
by the System Agency. In the event that any policy is detemnined by the System
Agency to be deficient to comply with the terms of this Contract, Grantee shall secure
such additional policies or coverage as the System Agency may reasonably request or
that are required by law or regulation. If coverage expires during the tern of this Contract,
Grantee must produce renewal certificates for each type of coverage.
B These and all other insurance requirements under the Contract apply to both Grantee and
its Subcontractors, if any. Grantee is responsible for ensuring its Subcontractors'
compliance with all requirements.
9.3 LEGAL OBLIGATIONS
Grantee shall comply with all applicable federal_ state, and local laws, ordinances, and
regulations, including all federal and state accessibility laws relating to direct and indirect
use of information and communication teclv�ology. Grantee shall be deemed to have
knowledge of all applicable laws and regulations and be deemed to understand thein.
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9.4 PERMITTING AND LICENSURE
At Grantee's sole expense, Grantee shall procure and maintain for the duration of this
Contract any state,county,city,or federal license,authorization,insurance,waiver,permit,
qualification or certification required by statute,ordinance,lair,or regulation to be held by
Grantee to provide the goods or services required by this Contract. Grantee shall be
responsible for payment of all tares, assessments, fees, premiums, permits, and licenses
required by law. Grantee shall be responsible for payment of any such government
obligations not paid by its Subcontractors during performance of this Contract.
9.5 INDERINITY
A. GRANTEE SHALL DEFEND, INDEMNIFY AND HOLD HARMLESS THE
STATE OF TEXAS AND SYSTEM AGENCY, AND/OR THEIR OFFICERS,
AGENTS, EMPLOYEES, REPRESENTATIVES, CONTRACTORS,
ASSIGNEES, AND/OR DESIGNEES FROM ANY AND ALL LIABILITY,
ACTIONS, CLAIMS, DENLANDS, OR SUITS, AND ALL RELATED COSTS,
ATTORNEY FEES, AND EXPENSES ARISING OUT OF OR RESULTING
FRONT ANY ACTS OR OMISSIONS OF GRANTEE OR ITS AGENTS,
EMPLOYEES, SUBCONTRACTORS,ORDER FULFILLERS,OR SUPPLIERS
OF SUBCONTRACTORS IN THE EXECUTION OR PERFORNLANCE OF THE
CONTRACT AND ANY PURCHASE ORDERS ISSUED UNDER THE
CONTRACT. THE DEFENSE SHALL BE COORDINATED BY GRANTEE
WITH THE OFFICE OF THE TEXAS ATTORNEY GENERAL WHEN TEXAS
STATE AGENCIES ARE NAMED DEFENDANTS I\ ANY LAWSUIT AND
GRANTEE MAY NOT AGREE TO ANY SETTLEMENT %VITHOUT FIRST
OBTAINING THE CONCURRENCE FROM THE OFFICE OF THE TEXAS
ATTORNEY GENERAL. GRANTEE AND SYSTEM AGENCY AGREE TO
Fl RNISH TIMELY WRITTEN NOTICE TO EACH OTHER OF ANY SUCH
CLAIM.
B. THIS PARAGRAPH IS NOT INTENDED TO AND SHALL NOT BE
CONSTRUED TO REQUIRE GRANTEE TO INDEMNIFY OR HOLD
HARNILESS THE STATE OR THE SYSTEM AGENCY FOR ANY CLAIMS OR
LLABILITIES RESI'LTING FROM THE NEGLEGENT ACTS OR OMISSIONS
OF THE SYSTEM AGENCY OR ITS EMPLOYEES.
C. For the avoidance of doubt, System Agency shall not indemnify Grantee or any
other entity under the Contract.
9.6 Ass1GNN1 v,Ts
A Grantee may not assign all or any portion of its rights under, interests in, or duties
required under this Contract without prior "ritten consent of the System Agency,
which may be withheld or granted at the sole discretion of the System Agency. Except
where otherwise agreed in writing by the System Agency,assignment gill not release
Grantee frum its obligations under the Contract.
B. Grantee understands and agrees the System Agency may in one or more transactions
assign, pledge, or transfer the Contract Th.s assignment N%ill only be made to another
State aj�cncy or a non-state agency that is contracted to perforni agency support.
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9.7 INDEPENDENT CONTRACTOR
Grantee and Grantee's employees, representatives, agents, Subcontractors, suppliers, and
third-party service providers shall serve as independent contractors in providing the services
under the Contract.Neither Grantee nor System Agency is an agent of the other and neither
may make any commitments on the other party's behalf.Should Grantee subcontract any of
the services required in the Contract,Grantee expressly understands and acknowledges that
in entering such subcontract(s). System Agency is in no manner liable to any
Subcontractor(s) of Grantee. In no event shall this provision relieve Grantee of the
responsibility for ensuring that the services performed under all subcontracts are rendered in
compliance with the Contract. Grantee shall have no claim against System Agency for
vacation pay,sick leave,retirement benefits,social security,worker's compensation,health
or disability benefits,unemployment insurance benefits,or employee benefits of any kind.
The Contract shall not create any joint venture, partnership, agency, or employment
relationship between Grantee and System Agency,
9.8 TECHNICAL GUIDANCE LETTERS
In the sole discretion of the System Agency.and in confomlance with federal and state law,
the System Agency may issue instructions, clarifications, or interpretations as may be
required during work performance in the form of a Technical Guidance Letter(M.).
A TGL must be in writing, and may be delivered by regular mail. electronic mail. or
facsimile transmission. Any TGL issued by the System Agency will be incorporated into the
Contract by reference for all purposes when it is issued.
9.9 DISPUTE RESOLUTION
A. The dispute resolution process provided for in Chapter 2260 of the Texas Government
Code must be used to attempt to resolve an)-dispute ari3ing under the Contract.
B. If a contract dispute arises that cannot be resolved to the satisfaction of the Parties,either
Party may notify the other Party in writing of the dispute. If the Parties are unable to
satisfactorily resolve the dispute within fourteen(14)days of the%k ritten notification,the
Parties must use the dispute resolution process provided for in Chapter 2260 of the Texas
Government Code to attempt to resolve the dispute.This provision will not apply to any
matter with respect to which either Party may make a decision within its respective sole
discretion.
9.10 GOVERNIVc LAW AND VENUE
The Contract shall be governed by and construed in accordance with the laws of the State of
Texas,without regard to the conflicts of law provisions.The venue of any suit arising under
the Contract is fixed in any court of competent jurisdiction of Travis County,Texas,unless
the specific venue is otherwise identified in a Statute which directly names or otherwise
identifies its applicability to the System Agency.
9.11 SE`'ERASILrry
If any provision contained in this Contract is held to be unenforceable by a court of
law or equity,this Contract shall be construed as if such provision did not exist and the non-
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enforceability of such provision shall not be held to render any other provision or
provisions of this Contract unenforceable.
9.12 SURVIVABILITY
Expiration or termination of the Contract for any reason does not release Grantee from any
liability or obligation set forth in the Contract that is expressly stated to survive any such
expiration or termination,that by its nature would be intended to be applicable folio%%ing any
such expiration or termination, or that is necessary to fulfill the essential purpose of the
Contract, including without limitation the provisions regarding warranty, indemnification,
confidentiality,and rights and remedies upon termination.
9.13 FORCE NMAJEURE
Neither Grantee nor System Agency shall be liable to the other for any delay in,or failure of
performance, of any requirement included in the Contract caused by force majeure. The
existence of such causes of delay or failure shall extend the period of performance until after
the causes of delay or failure have been removed provided the non-performing party
exercises all reasonable due diligence to perform. Force majeure is defined as acts of God,
war,fires,explosions,hurricanes,floods,failure of transportation, or other causes that are
beyond the reasonable control of either party and that by exercise of due foresight such party
could not reasonably have been expected to avoid, and which, by the exercise of all
reasonable due diligence,such party is unable to overcome.
9.14 No WAIVER OF PROVISIONS
'Me failure of the System Agency to object to or to take afl'mnrative action with respect to
any conduct of the Grantee which is in violation or breach of the terns of the Contract shal I
not be construed as a waiver of the violation or breach,or of any future violation or breach.
9.15 PL BLtcrry
A. Except as provided in the paragraph below, Grantee utast not use the name of, or
directly or indirectly refer to, the System Agency, the State of Texas, or any other
State agency in any media release, public announcement,or public disclosure relating
to the Contract or its subject matter, including in any promotional or marketing
materials,custonner lists,or business presentations.
B. Grantee may publish, at its sole expense, results of Grantee performance under the
Contract with the System Agency's prior review and approval, which the System
Agency may exercise at its sole discretion. Any publication(written,visual,or soured)
will acknowledge the support received from the System Agency and any Federal agency,
as appropriate.
C. Contractor is prohibited from rising the Work for any Contractor or third party marketing,
advertising, or promotional activities, without the prior written consent of System
Agency. The foregoing prohibition includes, without limitation, the placement of
banners, pop-tip ads,or other advertisements promoting Contractor's or a third party's
products,services, workshops,trainings,or other commercial offerings on any website
portal or internet-based service or software application hosted or managed by Contractor
as part ofthe Work.
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9.16 PROHIBITION ON NON-COMPETE RESTRICTIONS
Grantee shall not require any employees or Subcontractors to agree to any conditions,
such as non-compete clauses or other contractual arrangements that would limit or restrict
such persons or entities from employment or contracting with the State of Texas.
9.17 No WAIVER OF SOVEREIGN IMMUNITY
Nothing in the Contract will be construed as a waiver of the System Agency's or the
State's sovereign immunity.This Contract shall not constitute or be construed as a waiver of
any of the privileges, rights, defenses, remedies, or immunities available to the System
Agency or the State of Texas.The failure to enforce,or any delay in the enforcement,of any
privileges,rights,defenses,remedies,or immunities available to the System Agency or the
State of Texas under the Contract or under applicable law shall not constitute a %%giver of
such privileges, rights, defenses, remedies, or immunities or be considered as a basis for
estoppel. System Agency does not waive any privileges, rights, defenses, or immunities
available to System Agency by entering into the Contract or by its conduct prior to or
subsequent to entering into the Contract.
9.18 ENTIRE CONTRACT AND 11IODIFICATION
The Contract constitutes the entire agreement of the Parties and is intended as a complete
and exclusive statement of the promises,representations,negotiations,discussions,and other
agreements that may have been made in connection with the subject matter hereof. Any
additional or conflicting terms in any future document incorporated into the Contract
will be harmonized with this Contract to the extent possible.
9.19 COUNTERPARTS
This Contract may be executed in any number of counterparts, each of which will be an
original,and all such counterparts will wgether constitute but one and the same Contract.
9.20 PROPER AUTHORITY
Each Party represents and warrants that the person executumg this Contract on its behalf
has Full power and authority to enter into this Contract.
9.21 E-VERIFY PROGRAM
Grantee certifies that it utilities and will continue to utilize the U.S. Department of
Homeland Security's E-Verify system to determine the eligibility of.
i. all persons employed to perform duties within Texas during the tern of the Contract,
and
ii. all persons, (including subcontractors) assigned by the Grantee to perform work
pursuant to the Contract within the United States of America
9.22 CIVIL RIGHTS
A. Grantee agrees to comply with state and federal anti-discrimination laws,including.
i. Title VI of the Civil Rights.Act of 1964(42 1-.S.C. §2000d et seq.).-
ii.
eq.);ii. Section 504 of the Rehabilitation Act of 1973(291 S.C. §794),
iii. Americans with Disabilities Act of 1990(42 1'.S.C. §12 101 et seq.),
iv. Age Discrimination Act of 1975(42 U.S.C. §§6101-6107);
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v. Title El of the Education Amendments of 1972(20 U.S.C. §§1681-1688):
vi. Food and Nutrition Act of 2008(7 U.S.C. §2011 et seq.),.and
vii. The System Agency's administrative rules,as set forth in the Texas Administrative
Code,to the extent applicable to this Contract.
B. Grantee agrees to comply with all amendments to the above-referenced laws, and all
requirements imposed by the regulations issued pursuant to these laws. These laws
provide in part that no persons in the United States may,on the grounds of race.color,
national origin, sex, age, disability, political beliefs, or religion, be excluded from
participation in or denied any aid,care,service or other benefits provided by Federal or
State funding,or otherwise be subjected to discrimination.
C. Grantee agrees to comply with Title VI of the Civil Rights Act of 1964, and its
implementing regulations at 45 C.F.R. Part 80 or 7 C.F.R. Part 15, prohibiting a
contractor from adopting and implementing policies and procedures that exclude or
have the effect of excluding or limiting the participation of clients in its programs,
benefits, or activities on the basis of national origin. State acid federal civil rights
laws require contractors to provide alternative methods for ensuring access to services
for applicants and recipients who cannot express themselves fluently in English.
Grantee agrees to take reasonable steps to provide services and information,both orally
and in writing, in appropriate languages other than English, in order to ensure that
persons with limited English proficiency are effectively informed and can have
meaningfifl access to programs,benefits,and activities.
D. Grantee agrees to post applicable civil rights posters in areas open to the public
informing clients of their civil rights and including contact information for the HHS Civil
Rights Office, The posters are available on the HHS "ebsite at:
htty: 7ihsex.hhsc.te.rus_gpv syxtem-support-services civil-rights publications
E. Grantee agrees to comply with Executive Order 13279, and its unplementing
regulations at 45 C.F.R. Part 87 or 7 C.F.R. Part 16. These provide in part that any
organization that participates in programs funded by direct financial assistance from the
United States Department of Agriculture or the United States Department of Health
and Human Services shall not discriminate against a program beneficiary or prospective
program beneficiary on the basis of religion or religious belief.
F. Upon request, Grantee shall provide HHSC's Civil Rights Office with copies of the
Grantee's civil rights policies and procedures.
G. Grantee must notify HHSC's Civil Rights Office of any civil rights complaints receiXed
relating to its performance under this Contract. This notice must be delivered no more
than ten (10) calendar days after receipt of a complaint. notice provided pursuant to
this section must be directed to:
HHSC Civil Rights Office
701 W.51'Street,Mail Code W206
Austin,Texas 78751
Phone Toll Free:(888)388-6332
Phone:(512)438-4313
TTY Toll Free:(877)432-7232
Fax:(512)438-5885.
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9.23 SYSTMAGENCY DATA
As between the Parties, all data and information acquired, accessed, or made available to
Contractor by or through System Agency or System Agency contractors, including all
electronic data generated, processed, transmitted, or stored by Contractor in the course of
providing data processing services in connection with Contractor's performance hereunder,
(the "System Agency Data"), is owned solely by System Agency. Contractor has no right
or license to use, analyze, aggregate, transmit, create derivatives of, copy, disclose, or process
the System Agency Data except as required for Contractor to fulfill its obligations under the
Contract or as authorized in advance in writing by System Agency. For the avoidance of
doubt, Contractor is expressly prohibited from using, and from permitting any third party to
use, System Agency Data for marketing. research, or other non-govenunental or commercial
purposes, without the prior written consent of System Agency.
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TEXAS
Health and Human Services
Health and Human Services Commission
Special Conditions
Version 1.1
DocuSign Envelope ID Al 9D2E03-B8AA-447C-B3EF-A95614D1 2E5D
TABLE OF CONTENTS
ARTICLE 1. Special' ................................................................................... I
ARTICLE II. Grantees Personnel and Subcontractors ........................................ . . ........ 3
L01 Qualifications.. ............ ............... ...... ................. __ 3
2.02 Conduct and Removal ...... .................. ........... ......... ................... . 3
2.03 Minor Administrative ..................................................................... 4
ARTICLE111. Confidentiality ........................ . . ............... . . . ... . .... . . . . .......... . ....... . . 3
3.01 Confidential System Information ............. .... __ ..................................................... 3
ARTICLE IV. Miscellaneous Provisions..... . ......... . ... . .................................................... 4
4.01 Conflicts of InteTest ................. _ .... ___ ............... ............................ .............................. 4
4.02 Flow Down Provisions ............................... __ ...................... ...... 4
ARTICLE V.DSHS Legacy Provisions ........................................................................................ 5
5.01 Notice of Criminal Activity. and Disciplinary Actions .......... ................ ................. ......... 5
5.02 Notice of IRS or TWC Insolvency ................. __ ... _ ........................................................ _ 5
5.03 Education to Persons in Residential Facilities..........__...................................................... 5
5.04 Disaster SeMces ................... __ ... ........... ...... ___ ...... ....................................................... 5
5.05 Con se n I by Non -Parent or Other State Law to Medical Care of a Minor ........................... 6
5,06 Te I eined icine /Telepsychlatry Medical Services...__.......................................................... 6
5.07 Smr-ices and Information for Persons with I.imited English Proficiency ........................... 6
15.08 Third Party P ayors ........................................................................................................... ... 7
5.09 HI AiDS Model Workplace Guidelines _ „........................................................................ 7
5.10 Medical Records Retention ........................... ......................................................... _'__ ... 7
5.11 Notice of a License Action .. ....................................................... ..................... _ ............. 8
5.12 Interim Extension Amendment ....................... ...................... __ ............. _ ........... ....... 8
5.13 Child Abuse Reporting Requirement __ ... __ ....... ... .... a
5.14 Grantees Certification of Meeting or Exceeding Tobacco -Free Workplace Policy
MinimumStandards . .... ................... _ ................... ____ ............ ............................ 8
DocuSign Envelope 10. A19D2Eo3-B8AA-447C-B3EF-A95614D12E5D
HHSC SPECIAL CONDITIONS
The terms and conditions of these Special Conditions are incorporated into and made a part of the Contract.
Capitalized items used in these Special Conditions and not otherwise defined have the meanings assigned
to them in HHSC Grantee Uniform Terms and Conditions — Version 2.14
Article I. SPECIAL DEFINITIONS
"Conflict of Interest" means a set of facts or circumstances, a relationship, or other situation under which
Grantee, a Subcontractor, or individual has past, present, or currently planned personal or financial activities
or interests that either directly or indirectly: (1) impairs or diminishes the Grantee's, or Subcontractor's
ability to render impartial or objective assistance or advice to the HHSC; or (2) provides the Grantee or
Subcontractor an unfair competitive advantage in future HHSC procurements.
"Grantee Agents" means Grantee's representatives, employees, officers, as well as any contractor or
subgrantee's employees, contractors, officers, principals and agents.
"Custom Software" means Software developed as a Deliverable or in connection with the Agreement.
"Data Use Agreement" means the agreement incorporated into the Contract to facilitate creation, receipt,
maintenance, use, disclosure or access to Confidential Information.
"Federal Financial Participation" is a program that allows states to receive partial reimbursement for
activities that meet certain objectives of the federal government. It is also commonly referred to as the
Federal Medical Assistance Percentage (FMAP).
"Item of Noncompliance" means Grantee's acts or omissions that: (1) violate a provision of the Contract;
(2) fail to ensure adequate performance of the Project; (3) represent a failure of Grantee to be responsive to
a request of HHSC relating to the Project under the Contract.
"Minor Administrative Change" refers to a change to the Contract that does not increase the fees or term
and done in accordance with Section Section 4.01 of these Special Conditions.
"Confidential System Information" means any communication or record (whether oral, written,
electronically stored or transmitted, or in any other form) provided to or made available to Grantee; or that
Grantee may create, receive, maintain, use, disclose or have access to on behalf of HHSC or through
performance of the Project, which is not designated as Confidential Information in aData Use Agreement.
"State" means the State of Texas and, unless otherwise indicated or appropriate, will be interpreted to mean
HHSC and other agencies of the State of Texas that may participate in the administration of HHSC
Programs; provided, however, that no provision will be interpreted to include any entity other than HHSC
as the contracting agency.
"Software" means all operating system and applications software used or created by Grantee to perform
the work under the Contract.
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"Third Party Software" refers to software programs or plug -ins developed by companies or individuals
other than Grantee which are used in performance of the Project. It does not include items which are
ancillary to the performance of the Project, such as internal systems of Grantee which were deployed by
Grantee prior to the Contract and not procured to perform the Project.
"UTC" means HHSC's Uniform Terms and Conditions —Grantee- Version 2.15
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Article H. GRANTEES PERSONNEL
Section 2.01 Qualifications
Grantee agrees to maintain the organizational and administrative capacity and capabilities proposed in its
response to the Solicitation, as modified, to carry out all duties and responsibilities under the Contract.
Grantee Agents assigned to perform the duties and responsibilities under the Contract must be and remain
properly trained and qualified for the functions they are to perform. Notwithstanding the transfer or
turnover of personnel, Grantee remains obligated to perform all duties and responsibilities under the
Contract without degradation and in strict accordance with the terms of the Contract.
,Section 2.02 Conduct and Removal
While performing the Project, Grantee Agents must comply with applicable Contract terms, State and
federal rules, regulations, HHSC's policies, and HHSC's requests regarding personal and professional
conduct; and otherwise conduct themselves in a businesslike and professional manner.
If HHSC determines in good faith that a particular Grantee Agent is not conducting himself or herself in
accordance with the terms of the Contract, HHSC may provide Grantee with notice and documentation
regarding its concerns. Upon receipt of such notice, Grantee must promptly investigate the matter and, at
HHSC's election, take appropriate action that may include removing the Grantee Agent from performing
the Project.
Article Ill. CONFIDENTIALITY
Section 3.01 Confidential System Information
HHSC prohibits the unauthorized disclosure of Other Confidential Information. Grantee and all Grantee
Agents will not disclose or use any Other Confidential Information in any manner except as is necessary
for the Project or the proper discharge of obligations and securing of rights under the Contract. Grantee
will have a system in effect to protect Other Confidential Information. Any disclosure or transfer of Other
Confidential Information by Grantee, including information requested to do so by HHSC, will be in
accordance with the Contract. If Grantee receives a request for Other Confidential Information, Grantee
will immediately notify HHSC of the request, and will make reasonable efforts to protect the Other
Confidential Information from disclosure until further instructed by the HHSC.
Grantee will notify HHSC promptly of any unauthorized possession, use, knowledge, or attempt thereof,
of any Other Confidential Information by any person or entity that may become known to Grantee. Grantee
will furnish to HHSC all known details of the unauthorized possession, use, or knowledge, or attempt
thereof, and use reasonable efforts to assist HHSC in investigating or preventing the reoccurrence of any
unauthorized possession, use, or knowledge, or attempt thereof, of Other Confidential Information.
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HHSC will have the right to recover from Grantee all damages and liabilities caused by or arising from
Grantee or Grantee Agents' failure to protect HHSC's Confidential Information as required by this section.
IN COORDINATION WITH THE INDEMNITY PROVISIONS CONTAINED IN
THE UTC, Grantee WILL INDEMNIFY AND HOLD HARMLESS HHSC FROM
ALL DAMAGES, COSTS, LIABILITIES, AND EXPENSES (INCLUDING
WITHOUT LIMITATION REASONABLE ATTORNEYS' FEES AND COSTS)
CAUSED BY OR ARISING FROM Grantee OR Grantee AGENTS FAILURE TO
PROTECT OTHER CONFIDENTIAL INFORMATION. Grantee WILL FULFILL
THIS PROVISION WITH COUNSEL APPROVED BY HHSC.
Article IV. MISCELLANEOUS PROVISIONS
Section 4.01 Minor Administrative Changes
HHSC's designee, referred to as the Contract Manager, Project Sponsor, or other equivalent, in the
Contract, is authorized to provide written approval of mutually agreed upon Minor Administrative Changes
to the Project or the Contract that do not increase the fees or term. Changes that increase the fees or term
must be accomplished through the formal amendment procedure, as set forth in the UTC. Upon approval
of a Minor Administrative Change, HHSC and Grantee will maintain written notice that the change has
been accepted in their Contract files.
Section 4.02 Conflicts of Interest
Grantee warrants to the best of its knowledge and belief, except to the extent already disclosed to HHSC,
there are no facts or circumstances that could give rise to a Conflict of Interest and further that Grantee or
Grantee Agents have no interest and will not acquire any direct or indirect interest that would conflict in
any manner or degree with their performance under the Contract. Grantee will, and require Grantee Agents,
to establish safeguards to prohibit Contract Agents from using their positions for a purpose that constitutes
or presents the appearance of personal or organizational Conflict of Interest, or for personal gain. Grantee
and Grantee Agents will operate with complete independence and objectivity without actual, potential or
apparent Conflict of Interest with respect to the activities conducted under the Contract.
Grantee agrees that, if after Grantee's execution of the Contract, Grantee discovers or is made aware of a
Conflict of Interest, Grantee will immediately and fully disclose such interest in writing to HHSC. In
addition, Grantee will promptly and fully disclose any relationship that might be perceived or represented
as a conflict after its discovery by Grantee or by HHSC as a potential conflict. HHSC reserves the right to
make a final determination regarding the existence of Conflicts of Interest, and Grantee agrees to abide by
HHSC's decision.
If HHSC determines that Grantee was aware of a Conflict of Interest and did not disclose the conflict to
HHSC, such nondisclosure will be considered a material breach of the Contract. Furthermore, such breach
may be submitted to the Office of the Attorney General, Texas Ethics Commission, or appropriate State or
federal law enforcement officials for further action.
Section 4.03 Flow Down Provisions
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Grantee must include any applicable provisions of the Contract in all subcontracts based on the scope and
magnitude of work to be performed by such Subcontractor. Any necessary terms will be modified
appropriately to preserve the State's rights under the Contract.
Article V. DSHS LEGACY PROVISIONS
Section 5.01 Notice of Criminal Activity and Disciplinary Actions
(a) Grantee shall immediately report in writing to their contract manager when Grantee has knowledge
or any reason to believe that they or any person with ownership or controlling interest in the
organization/business, or their agent, employee, subcontractor or volunteer that is providing
services under this Contract has:
Engaged in any activity that could constitute a criminal offense equal to or greater than a Class A
misdemeanor or grounds for disciplinary action by a state or federal regulatory authority; or
Been placed on community supervision, received deferred adjudication, or been indicted for or
convicted of a criminal offense relating to involvement in any financial matter, federal or state
program or felony sex crime.
(b) Grantee shall not permit any person who engaged, or was alleged to have engaged, in any activity
subject to reporting under this section to perform direct client services or have direct contact with
clients, unless otherwise directed in writing by the System Agency.
Section 5.02 Notice of IRS or TWC Insolvency
Grantee shall notify in writing their assigned contract manager their insolvency, incapacity or outstanding
unpaid obligations to the Internal Revenue Service (IRS) or Texas Workforce Commission within five
days of the date of becoming aware of such.
Section 5.03 Education to Persons in Residential Facilities
Grantee shall ensure that all persons, who are housed in System Agency licensed or funded residential
facilities and are 22 years of age or younger, have access to educational services as required by Texas
Education Code § 29.012.
Grantee shall notify the local education agency or local early intervention program as prescribed by this
Section not later than the third calendar day after the date a person who is 22 years of age or younger is
placed in Grantee's residential facility
Section 5.04 Disaster Services
In the event of a local, state, or federal emergency, including natural, man- made, criminal, terrorist,
andior bioterrorism events, declared as a state disaster by the Governor, or a federal disaster by the
appropriate federal official, Grantee may be called upon to assist the System Agency in providing the
following services:
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a. Community evacuation;
b. Health and medical assistance;
c. Assessment of health and medical needs;
d. Health surveillance;
e. Medical care personnel;
f. Health and medical equipment and supplies;
g. Patient evacuation;
h. In -hospital care and hospital facility status;
i. Food, drug and medical device safety;
j. worker health and safety;
k. Mental health and substance abuse;
1. Public health information;
m. Vector control and veterinary services; and
n. Victim identification and mortuary services.
Section 5.05 Consent by Non -Parent or Other State Law to Medical Care of a Minor
Unless a federal law applies, before a Grantee or its subcontractor can provide medical, dental,
psychological or surgical treatment to a minor without parental consent, informed consent must be obtained
as required by Texas Family Code Chapter 32.
Section 5.06 Telemedicine /Telepsychiatry Medical Services
If Grantee or its subcontractor uses telemedicincitelepsychiatry, these services shall be in accordance with
the Grantee's written procedures. Grantee must use a protocol approved by Grantee's medical director and
equipment that complies with the System Agency equipment standards, if applicable. Grantee's
procedures for providing telemedicine service must include the following requirements:
a. Clinical oversight by Grantee's medical director or designated physician responsible for
medical leadership;
b. Contraindication considerations for telemedicine use;
c. Qualified staff members to ensure the safety of the individual being served by
telemedicine at the remote site;
d. Safeguards to ensure confidentiality and privacy in accordance with state and federal laws;
e. Use by credentialed licensed providers providing clinical care within the scope of their licenses;
f. Demonstrated competency in the operations of the system by all staff members who are
involved in the operation of the system and provision of the services prior to initiating the
protocol;
g. Priority in scheduling the system for clinical care of individuals;
h. Quality oversight and monitoring of satisfaction of the individuals served; and
i. Management of information and documentation for telemedicine services that ensures timely
access to accurate information between the two sites. Telemedicine Medical Services does not
include chemical dependency treatment services provided by electronic means under 25 Texas
Administrative Code Rule § 448.911.
Section 5.07 Services and Information for Persons with Limited English Proficiency
a. Grantee shall take reasonable steps to provide services and information both orally and in
writing, in appropriate languages other than English, to ensure that persons with limited English
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proficiency are effectively informed and can have meaningful access to programs, benefits and
activities.
b. Grantee shall identify and document on the client records the primary language'dialect of a
client who has limited English proficiency and the need for translation or interpretation services
and shall not require a client to provide or pay for the services of a translator or interpreter.
c. Grantee shall make every effort to avoid use of any persons under the age of 18 or any family
member or friend of the client as an interpreter for essential communications with a client with
limited English proficiency unless the client has requested that person and using the person
would not compromise the effectiveness of services or violate the client's confidentiality and
the client is advised that a free interpreter is available.
Section 5.08 Third Party Payors
Except as provided in this Contract, Grantee shall screen all clients and may not bill the System Agency for
services eligible for reimbursement from third party payors, who are any person or entity who has the legal
responsibility for paying for all or part of the services provided, including commercial health or liability
insurance carriers, Medicaid, or other federal, state, local and private funding sources.
As applicable, the Grantee shall:
a. Enroll as a provider in Children's Health Insurance Program and Medicaid if providing approved
services authorized under this Contract that may be covered by those programs and bill those
programs for the covered services;
b. Provide assistance to individuals to enroll in such programs when the screening process indicates
possible eligibility for such programs;
c. Allow clients that are otherwise eligible for System Agency services, but cannot pay a deductible
required by a third party payor, to receive services up to the amount of the deductible and to bill the
System Agency for the deductible;
d. Not bill the System Agency for any services eligible for third party reimbursement until all appeals
to third party payors have been exhausted;
e. Maintain appropriate documentation from the third party payor reflecting attempts
to obtain reimbursement;
f. Bill all third party payors for services provided under this Contract before submitting any request for
reimbursement to System Agency; and
g. Provide third party billing functions at no cost to the client.
Section 5.09 HIV/AIDS Model Workplace Guidelines
Grantee shall implement System Agency's policies based on the Human Immunodeficiency
Virus/Acquired Immunodeficiency Syndrome (HIV: AIDS), AIDS Model Workplace Guidelines for
Businesses at http:,': www.dshs.state.tx.us/hivstd.'policy_ policies.shtm, State Agencies and State Grantees
Policy No. 090.021.
Grantee shall also educate employees and clients concerning HIV and its related conditions, including
AIDS, in accordance with the Texas. Health & Safety Code §§ 85.112-114.
Section 5.10 Medical Records Retention
Grantee shall retain medical records in accordance with 22 TAC § 165.1(b) or other applicable statutes, rules
and regulations governing medical information.
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Section 5.11 Notice of a License Action
Grantee shall notify their contract manager of any action impacting its license to provide services under
this Contract within five days of becoming aware of the action and include the following:
a. Reason for such action;
b. Name and contact information of the local, state or federal department or agency or entity;
c. Date of the license action; and
d. License or case reference number.
Section 5.12 Interim Extension Amendment
a. Prior to or on the expiration date of this Contract, the Parties agree that this Contract can be
extended as provided under this Section.
b. The System Agency shall provide written notice of interim extension amendment to the Grantee
under one of the following circumstances:
1. Continue provision of services in response to a disaster declared by the governor; or
2. To ensure that services are provided to clients without interruption.
c. The System Agency will provide written notice of the interim extension amendment that specifies
the reason for it and period of time for the extension.
d. Grantee will provide and invoice for services in the same manner that is stated in the Contract.
e. An interim extension under Section (b)(I) above shall extend the term of the contract not longer
than 30 days after governor's disaster declaration is declared unless the Parties agree to a shorter
period of time.
f. An interim extension under Section (b)(2) above shall be a one-time extension for a period
of time determined by the System Agency.
Section 5.13 Child Abuse Reporting Requirement
a. Grantees shall comply with child abuse and neglect reporting requirements in Texas Family Code
Chapter 261. This section is in addition to and does not supersede any other legal obligation of
the Grantee to report child abuse.
b. Grantee shall develop, implement and enforce a written policy that includes at a minimum the
System Agency's Child Abuse Screening, Documenting, and Reporting Policy for
Grantees/Providers and train all staff on reporting requirements.
c. Grantee shall use the System Agency's Child Abuse Reporting Form located at www.Systern
Agency.state.tx.us.childabusereporting as required by the System Agency. Grantee shall retain
reporting documentation on site and make it available for inspection by the System Agency.
Section 5.14 Grantee's Certification of Meeting or Exceeding Tobacco -Free Workplace
Policy Minimum Standards
Grantee certifies that it has adopted and enforces a Tobacco -Free Workplace Policy that meets or
exceeds all of the following minimum standards of:
a) Prohibiting the use of all forms of tobacco products, including but not limited to cigarettes,
cigars, pipes, water pipes (hookah), bidis, kreteks, electronic cigarettes, smokeless tobacco,
snuff and chewing tobacco;
b) Designating the property to which this Policy applies as a "designated area," which must at
least comprise all buildings and structures where activities funded under this Contract are
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taking place, as well as Grantee owned, leased, or controlled sidewalks, parking lots, walkways,
and attached parking structures immediately adjacent to this designated area;
c) Applying to all employees and visitors in this designated area; and
d) Providing for or referring its employees to tobacco use cessation services.
If Grantee cannot meet these minimum standards, it must obtain a waiver from the System Agency.
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isTEXAS
Health and Human Services
FEDERAL ASSURANCES FOR NON -CONSTRUCTION
PROJECT AND FEDERAL LOBBYING FORM
DocuSign Envelope ID: Al9D2E03-S8AA-447C-B3EF-A95614D12E5D
OMB Number: 4040-0007
Expiration Date 01l31?2019
ASSURANCES - NON -CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND
IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances.
If such is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non -Federal share
of project cost) to ensure proper planning, management
and completion of the project described in this
application.
2. Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the Slate,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovernmental Personnel Act of
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F),
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352)
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C.§§1681-
1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the bass of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42 U.
S.C. §§6101-6107), which prohibits discrimination on
the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehens;ve Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616)., as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290
ee- 3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the Civil
Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as
amended, relating to nondiscrimination in the sale,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made; and, Q) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally -assisted programs. These requirements
apply to all interests in real property acquired for
project purposes regardless of Federal participation in
purchases.
8. Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
which limit the political activities of employees whose
principal employment activities are funded in whole
or in part with Federal funds.
Previous Edition Usable Standard Form 424E (Rev. 7-97)
Authorized for Local Reproduction Prescribed by OMB Circular A-102
DocuSign Envelope ID: A19D2E03-B8AA-447C-83EF-A95614D12E5D
9. Will comply, as applicable, with the provisions of the Davis- 13. Will assist the awarding agency in assuring compliance
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act with Section 106 of the National Historic Preservation
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract Act of 1966, as amended (16 U.S.C. §470), EO 11593
Work Hours and Safety Standards Act (40 U.S.C. §§327- (identification and protection of historic properties), and
333), regarding labor standards for federally -assisted the Archaeological and Historic Preservation Act of
construction subagreements. 1974 (16 U.S.C. §§469a-1 et seq.).
10. WIII comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires
recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO)11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of
Federal actions to Stale (Clean Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. §§7401 et seq.); (g) protection of
underground sources of drinking water under the Safe
Drinking Water Act of 1974, as amended (P.L. 93-523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-
205 ).
12, Will comp;y with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271 el seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.
SIGNATURE OF
Daniel A Pope
APPLICANT ORGANIZATION
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et
seq.) pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or
other activities supported by this award of assistance.
16. Will comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
prohibits the use of lead -based paint in construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non -Profit
Organizations."
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
19. Will comply with the requirements of Section 106(g) of
the Trafficking Victims Protection Act (TVPA) of 2000, as
amended (22 U.S.C. 7104) which prohibits grant award
recipients or a sub -recipient from (1) Engaging in severe
forms of trafficking in persons during the period of lime
that the award is in effect (2) Procuring a commercial
sex act during the period of time that the award is in
effect or (3) Using forced labor in the performance of the
award or subawards under the award.
TITLE
DATE SUBMITTED
Standard Form 424B (Rev. 7-97) Back
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DATA USE AGREEMENT
BETWEEN THE
TEXAS HEALTH AND HUMAN SERVICES SYSTEM
AND
CONTRACTOR
This Data Use Agreement ("DUA") is effective as of the date of the Base Contract into which it is
incorporated ("Effective Date"), by and between the Texas Health and Human Services System, which
includes the Texas Health and Human Services Commission and the Department of State Health Services
("HHS") and Contractor (the "Base Contract").
ARTICLE 1. PURPOSE; APPLICABILITY; ORDER OF PRECEDENCE
The purpose of this DUA is to facilitate access to, creation, receipt, maintenance, use, disclosure or
transmission of Confidential Information with Contractor, and describe Contractor's rights and obligations
with respect to the Confidential Information and the limited purposes for which the Contractor may create,
receive, maintain, use, disclose or have access to Confidential Information. This DUA also describes HHS's
remedies in the event of Contractor's noncompliance with its obligations under this DUA. This DUA
applies to both HHS business associates, as "business associate" is defined in the Health Insurance
Portability and Accountability Act (HIPAA), and contractors who are not business associates, who create,
receive, maintain, use, disclose or have access to Confidential Information on behalf of HHS, its programs
or clients as described in the Base Contract. As a best practice, HHS requires its contractors to comply with
the terms of this DUA to safeguard all types of Confidential Information.
As of the Effective Date of this DUA, if any provision of the Base Contract conflicts with this DUA,
this DUA controls.
ARTICLE 2. DEFINITIONS
For the purposes of this DUA, capitalized, underlined terms have the following meanings:
"Authorized Purpose" means the specific purpose or purposes described in the Base Contract for
Contractor to fulfill its obligations under the Base Contract, or any other purpose expressly authorized by
HHS in writing in advance.
"Authorized User" means a person:
(1) Who is authorized to create, receive, maintain, have access to, process, view, handle,
examine, interpret, or analyze Confidential Information pursuant to this DUA;
(2) For whom Contractor warrants and represents has a demonstrable need to create, receive,
maintain, use, disclose or have access to the Confidential Information; and
(3) Who has agreed in writing to be bound by the disclosure and use limitations pertaining to
the Confidential Information as required by this DUA.
"Breach" means an impermissible use or disclosure of electronic or non -electronic sensitive personal
information by an unauthorized person or for an unauthorized purpose that compromises the security or
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privacy of Confidential Information such that the use or disclosure poses a risk of reputational harm, theft
of financial information, identity theft, or medical identity theft. Any acquisition, access, use, disclosure or
loss of Confidential Information other than as permitted by this DUA shall be presumed to be a Breach
unless Contractor demonstrates, based on a risk assessment, that there is a low probability that the
Confidential Information has been compromised.
"Confidential Information" means any communication or record (whether oral, written, electronically
stored or transmitted, or in any other form) provided to or made available to Contractor or that Contractor
may create, receive, maintain, use, disclose or have access to on behalf of HHS that consists of or
includes any or all of the following:
(1) Education records as defined in the Family Educational Rights and Privacy Act, 20 U.S.C.
§ 1232g; 34 C.F.R. Part 99
(2) Federal Tax Information as defined in Internal Revenue Code §6103 and Internal Revenue
Service Publication 1075;
(3) Personal Identifying Information (PII) as defined in Texas Business and Commerce Code,
Chapter 521;
(4) Protected Health Information (PHI) in any form including without limitation, Electronic
Protected Health Information or Unsecured Protected Health Information as defined in 45
C.F.R.§160.103;
(5) Sensitive Personal Information ($PI) as defined in Texas Business and Commerce Code,
Chapter 521;
(6) Social Security Administration Data, including, without limitation, Medicaid information
means disclosures of information made by the Social Security Administration or the
Centers for Medicare and Medicaid Services from a federal system of records for
administration of federally funded benefit programs under the Social Security Act, 42
U.S.C., Chapter 7;
(7) All privileged work product;
(8) All information designated as confidential under the constitution and laws of the State of
Texas and of the United States, including the Texas Health & Safety Code and the Texas
Public Information Act, Texas Government Code, Chapter 552.
"Destroy", "Destruction". for Confidential Information, means:
(1) Paper, film, or other hard copy media have been shredded or destroyed such that the
Conf dential In cannot be read or otherwise cannot be reconstructed. Redaction is specifically
excluded as a meansof data destruction.
(2) Electronic media have been cleared, purged, or destroyed consistent with NIST Special
Publication 800-88, "Guidelines for Media Sanitization," such that the Confidential Information cannot be
retrieved.
"Discover. Discovery" means the first day on which a Breach becomes known to Contractor, or, by
exercising reasonable diligence would have been known to Contractor.
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"Legally Authorized Representative" of an individual, including as provided in 45 CFR 435.923
(authorized representative); 45 CFR 164.502(g)(1) (personal representative); Tex. Occ. Code § 151.002(6);
Tex. H. & S. Code § 166.164 (medical power of attorney); and Texas Estates Code § 22.031 (representative).
"Required by Law" means a mandate contained in law that compels an entity to use or disclose
Confidential Information that is enforceable in a court of law, including court orders, warrants, subpoenas
or investigative demands.
"Subcontractor" means a person who contracts with a prime contractor to work, to supply commodities,
or to contribute toward completing work for a governmental entity.
"Workforce" means employees, volunteers, trainees or other persons whose performance of work is under
the direct control of a party, whether or not they are paid by that party.
ARTICLE 3. CONTRACTOR'S DUTIES REGARDING CONFIDENTIAL INFORMATION
Section 3.01 Obligations of Contractor
Contractor agrees that:
(A) With respect to PHI, Contractor shall:
(1) Make PHI available in a designated record set if requested by HHS, if Contractor maintains
PHI in a designated record set, as defined in HIPAA.
(2) Provide to HHS data aggregation services related to the healthcare operations Contractor
performs for HHS pursuant to the Base Contract, if requested by HHS, if Contractor provides data
aggregation services as defined in HIPAA.
(3) Provide access to PHI to an individual who is requesting his or her own PHI, or such
individual's Legally Authorized Representative, in compliance with the requirements of HIPAA.
(4) Make PHI available to HHS for amendment, and incorporate any amendments to PHI that
HHS directs, in compliance with HIPAA.
(5) Document and make available to HHS, an accounting of disclosures in compliance with
the requirements of HIPAA.
(6) If Contractor receives a request for access, amendment or accounting of PHI by any
individual, promptly forward the request to HHS or, if forwarding the request would violate HIPAA,
promptly notify HHS of the request and of Contractor's response. HHS will respond to all such requests,
unless Contractor is Required by Law to respond or HHS has given prior written consent for Contractor to
respond to and account for all such requests.
(B) With respect to ALL Confidential Information, Contractor shall:
(1) Exercise reasonable care and no less than the same degree of care Contractor uses to protect
its own confidential, proprietary and trade secret information to prevent Confidential Information from
being used in a manner that is not expressly an Authorized Purpose or as Required by Law. Contractor will
access, create, maintain, receive, use, disclose, transmit or Destroy Confidential Information in a secure
fashion that protects against any reasonably anticipated threats or hazards to the security or integrity of such
information or unauthorized uses.
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(2) Establish, implement and maintain appropriate procedural, administrative, physical and
technical safeguards to preserve and maintain the confidentiality, integrity, and availability of the
Confidential Information, in accordance with applicable laws or regulations relating to Confidential
Information, to prevent any unauthorized use or disclosure of Confidential Information as long as
Contractor has such Confidential Information in its actual or constructive possession.
(3) Implement, update as necessary, and document privacy, security and Breach notice policies
and procedures and an incident response plan to address a Breach, to comply with the privacy, security and
breach notice requirements of this DUA prior to conducting work under the Base Contract. Contractor shall
produce, within three business days of a request by HHS, copies of its policies and procedures and records
relating to the use or disclosure of Confidential Information.
(4) Obtain HHS's prior written consent to disclose or allow access to any portion of the
Confidential Information to any person, other than Authorized Users Workforce or Subcontractors of
Contractor who have completed training in confidentiality, privacy, security and the importance of promptly
reporting any Breach to Contractor's management and as permitted in Section 3.01(A)(3), above. Contractor
shall produce evidence of completed training to HHS upon request. HHS, at its election, may assist
Contractor in training and education on specific or unique HHS processes, systems and/or requirements.
All of Contractor's Authorized Users, Workforce and Subcontractors with access to a state computer system
or database will complete a cybersecurity training program certified under Texas Government Code Section
2054.519 by the Texas Department of Information Resources.
(5) Establish, implement and maintain appropriate sanctions against any member of its
Workforce or Subcontractor who fails to comply with this DUA, the Base Contract or applicable law.
Contractor shall maintain evidence of sanctions and produce it to HHS upon request.
(6) Obtain prior written approval of HHS, to disclose or provide access to any Confidential
Information on the basis that such act is Required by Law, so that HHS may have the opportunity to object
to the disclosure or access and seek appropriate relief. If HHS objects to such disclosure or access,
Contractor shall refrain from disclosing or providing access to the Confidential Information until HHS has
exhausted all alternatives for relief.
(7) Certify that its Authorized Users each have a demonstrated need to know and have access
to Confidential Information solely to the minimum extent necessary to accomplish the Authorized Purpose
and that each has agreed in writing to be bound by the disclosure and use limitations pertaining to the
Confidential Information contained in this DUA. Contractor and its Subcontractors shall maintain at all
times an updated, complete, accurate list of Authorized Users and supply it to HHS upon request.
(8) Provide, and shall cause its Subcontractors and agents to provide, to HHS periodic written
confirmation of compliance with controls and the terms and conditions of this DUA.
(9) Return to HHS or Destroy, at HHS's election and at Contractor's expense, all Confidential
Information received from HHS or created or maintained by Contractor or any of Contractor's agents or
Subcontractors on HHS's behalf upon the termination or expiration of this DUA, if reasonably feasible and
permitted by law. Contractor shall certify in writing to HHS that all such Confidential information has
been Destroyed or returned to HHS, and that Contractor and its agents and Subcontractors have retained no
copies thereof. Notwithstanding the foregoing, Contractor acknowledges and agrees that it may not Destroy
any Confidential Information if federal or state law, or HHS record retention policy or a litigation hold
notice prohibits such Destruction. If such return or -Destruction is not reasonably feasible, or is
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impermissible by law, Contractor shall immediately notify HHS of the reasons such return or Destruction
is not feasible and agree to extend the protections of this DUA to the Confidential Information for as long
as Contractor maintains such Confidential information.
(10) Complete and return with the Base Contract to HHS, attached as Attachment 2 to this DUA,
the HHS Security and Privacy Initial Inquiry (SPI) at littps:':'hhs.texas.gov.'laws-
regulations/forms/miscellaneous/hhs-information-securityprivacy-initial-inquiry-ski. The SPI identifies
basic privacy and security controls with which Contractor must comply to protect Confidential Information.
Contractor shall comply with periodic security controls compliance assessment and monitoring by HHS as
required by state and federal law, based on the type of Confidential Information Contractor creates, receives,
maintains, uses, discloses or has access to and the Authorized Purpose and level of risk. Contractor's
security controls shall be based on the National Institute of Standards and Technology (MIST) Special
Publication 800-53. Contractor shall update its security controls assessment whenever there are significant
changes in security controls for HHS Confidential Information and shall provide the updated document to
HHS. HHS also reserves the right to request updates as needed to satisfy state and federal monitoring
requirements.
(11) Comply with the HHS Acceptable Use Policy (AUP) and require each Subcontractor and
Workforce member who has direct access to HHS Information Resources, as defined in the AUP, to execute
an HHS Acceptable Use Agreement.
(12) Only conduct secure transmissions of Confidential Information whether in paper, oral or
electronic form. A secure transmission of electronic Confidential Information in motion includes secure
File Transfer Protocol (SFTP) or encryption at an appropriate level as required by rule, regulation or law.
Confidential Information at rest requires encryption unless there is adequate administrative, technical, and
physical security as required by rule, regulation or law. All electronic data transfer and communications of
Confidential Information shall be through secure systems. Contractor shall provide proof of system, media
or device security and/or encryption to HHS no later than 48 hours after HHS's written request in response
to a compliance investigation, audit, or the Discovery of a Breach. HHS may also request production of
proof of security at other times as necessary to satisfy state and federal monitoring requirements.
Deidentification of Confidential Information in accordance with HIPAA de -identification standards is
deemed secure.
(13) Designate and identify a person or persons, as Privacy Official and Information Security
Official, each of whom is authorized to act on behalf of Contractor and is responsible for the development
and implementation of the privacy and security requirements in this DUA. Contractor shall provide name
and current address, phone number and e-mail address for such designated officials to HHS upon execution
of this DUA and prior to any change. Upon written notice from HHS, Contractor shall promptly remove
and replace such official(s) if such official(s) is not performing the required functions.
(14) Make available to HHS any information HHS requires to fulfill HHS's obligations to
provide access to, or copies of, Confidential Information in accordance with applicable laws, regulations or
demands of a regulatory authority relating to Confidential Information. Contractor shall provide such
information in a time and manner reasonably agreed upon or as designated by the applicable law or
regulatory authority.
(15) Comply with the following laws and standards if applicable to the type of Conrdential
Information and Contractor's Authorized Purvose:
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• Title 1, Part I0 Chapter 202, Subchapter B, Texas Administrative Code;
• The Privacy Act of 1974;
• OMB Memorandum 17-12;
• The Federal Information Security Management Act of 2002 (FISMA);
• The Health Insurance Portability and Accountability Act of 1996 (HIPAA);
• Internal Revenue Publication 1075 — Tax Information Security Guidelines for Federal, State
and Local Agencies;
• National Institute of Standards and Technology (MIST) Special Publication 800-66 Revision 1
— An Introductory Resource Guide for Implementing the Health Insurance Portability and
Accountability Act (HIPAA) Security Rule;
• NIST Special Publications 800-53 and 800-53A - - Recommended Security Controls for Federal
Information Systems and Organizations, as currently revised;
• NIST Special Publication 800-47 — Security Guide for Interconnecting Information
Technology Systems;
• NIST Special Publication 800-88, Guidelines for Media Sanitization;
• NIST Special Publication 800-111, Guide to Storage of Encryption Technologies for End User
Devices containing PHI;
• Family Educational Rights and Privacy Act
• Texas Business and Commerce Code Chapter 521
• Any other State or Federal law, regulation, or administrative rule relating to the specific HHS
program area that Contractor supports on behalf of HHS.
(16) Be permitted to use or disclose Confidential Information for the proper management and
administration of Contractor or to carry out Contractor's legal responsibilities, except as otherwise
limited by this DUA, the Base Contract, or law applicable to the Confidential Information, if:
(a) Disclosure is Required by Law;
(b) Contractor obtains reasonable assurances from the person to whom the information is
disclosed that the person shall:
1. Maintain the confidentiality of the Confidential Information in accordance with
this DUA;
2. Use or further disclose the information only as Required by Law or for the
Authorized Purpose for which it was disclosed to the person; and
3. Notify Contractor in accordance with Section 4.01 of a Breach of Confidential
Information that the person Discovers or should have Discovered with the exercise of
reasonable diligence.
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(C) With respect to ALL Confidential Information. Contractor shall NOT:
(1) Attempt to re -identify or further identify Confidential Information that has been
deidentified or attempt to contact any persons whose records are contained in the Confidential Information,
except for an Authorized Purpose, without express written authorization from HHS.
(2) Engage in prohibited marketing or sale of Confidential Information.
(3) Permit, or enter into any agreement with a Subcontractor to, create, receive, maintain, use,
disclose, have access to or transmit Confidential Information, on behalf of HHS without requiring
that Subcontractor first execute either the Form Subcontractor Agreement, Attachment 1, or
Contractor's own Subcontractor agreement that ensures that the Subcontractor shall comply with
the same safeguards and restrictions contained in this DUA for Confidential Information.
Contractor is directly responsible for its Subcontractors' compliance with, and enforcement of, this
DUA.
ARTICLE 4. BREACH NOTICE, REPORTING AND CORRECTION REQUIREMENTS
Section 4.01. Cooueration and Financial Responsibility.
(A) Contractor shall, at Contractor's expense, cooperate fully with HHS in investigating,
mitigating to the extent practicable, and issuing notifications as directed by HHS, for any Breach of
Confidential Information.
(B) Contractor shall make Confidential Information in Contractor's possession available
pursuant to the requirements of HIPAA or other applicable law upon a determination of a Breach.
(C) Contractor's obligation begins at the Discovery of a Breach and continues as long as related
activity continues, until all effects of the Breach are mitigated to HHS's satisfaction (the "incident response
period").
Section 4.02. Initial Breach Notice.
For federal information obtained front a federal system of records, including Federal Tax Information and
Social Security Administration _Data (which includes Medicaid and other governmental benefit program
Confidential Information), Contractor shall notify HHS of the Breach within the first consecutive clock
hour of Discovery. The Base Contract shall specify whether Confidential Information is obtained from a
federal system of records. For all other types of Confidential information Contractor shall notify HHS of
the Breach not more than 24 hours after Discovery, or in a dineframe otherwise approved by HHS in
writing. Contractor shall initially report to HHS's Privacy and Security Officers via email at:
privac HHSC.statetx.us and to the HHS division responsible for the Base Contract.
Contractor shall report all information reasonably available to Contractor about the Breach.
Contractor shall provide contact information to HHS for Contractor's single point of contact who will
communicate with HHS both on and off business hours during the incident response period.
Section 4.03 Third Business Day Notice: No later than 5 p.m. on the third business day after Discovery,
or a time within which Discovery reasonably should have been made by Contractor of a Breach of
Confidential Information, Contractor shall provide written notification to HHS of all reasonably available
information about the Breach, and Contractor's investigation, including, to the extent known to Contractor:
a. The date the Breach occurred;
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b. The date of Contractor's and, if applicable, Subcontractor's Discovery;
c. A brief description of the Breach, including how it occurred and who is responsible (or
hypotheses, if not yet determined);
d. A brief description of Contractor's investigation and the status of the investigation;
e. A description of the types and amount of Confidential Information involved;
f. Identification of and number of all individuals reasonably believed to be affected, including
first and last name of the individual and if applicable, the Legally authorized representative, last
known address, age, telephone number, and email address if it is a preferred contact method;
g. Contractor's initial risk assessment of the Breach demonstrating whether individual or other
notices are required by applicable law or this DUA for HHS approval, including an analysis of
whether there is a low probability of compromise of the Confidential Information or whether any
legal exceptions to notification apply;
h. Contractor's recommendation for HHS's approval as to the steps individuals and/or Contractor
on behalf of individuals, should take to protect the individuals from potential harm, including
Contractor's provision of notifications, credit protection, claims monitoring, and any specific
protections for a Legally Authorized Representative to take on behalf of an individual with
special capacity or circumstances;
i. The steps Contractor has taken to mitigate the harm or potential harm caused (including without
limitation the provision of sufficient resources to mitigate);
j. The steps Contractor has taken, or will take, to prevent or reduce the likelihood of recurrence
of a similar Breach;
k. Identify, describe or estimate of the persons, Workforce, Subcontractor, or individuals and any
law enforcement that may be involved in the Breach;
1. A reasonable schedule for Contractor to provide regular updates regarding response to the
Breach, but no less than every three (3) business days, or as otherwise directed by HHS in
writing, including information about risk estimations, reporting, notification, if any, mitigation,
corrective action, root cause analysis and when such activities are expected to be completed;
and
m. Any reasonably available, pertinent information, documents or reports related to a Breach that
HHS requests following Discovery.
Section 4.04. Investigation, Response and Mitigation.
(A) Contractor shall immediately conduct a full and complete investigation, respond to the
Breach, commit necessary and appropriate staff and resources to expeditiously respond, and report
as required to HHS for incident response purposes and for purposes of HHS's compliance with
report and notification requirements, to the satisfaction of HHS.
(B) Contractor shall complete or participate in a risk assessment as directed by HHS following
a Breach, and provide the final assessment, corrective actions and mitigations to HHS for review
and approval.
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(C) Contractor shall fully cooperate with HHS to respond to inquiries and/or proceedings by
state and federal authorities, persons and/or individuals about the Breach.
(D) Contractor shall fully cooperate with HHS's efforts to seek appropriate injunctive relief or
otherwise prevent or curtail such Breach, or to recover or protect any Confidential Information,
including complying with reasonable corrective action or measures, as specified by HHS in a
Corrective Action Plan if directed by HHS under the Base Contract.
Section 4.05. Breach Notification to Individuals and Reporting to Authorities.
(A) HHS may direct Contractor to provide Breach notification to individuals, regulators or
third -parties, as specified by HHS following a Breach.
(B) Contractor must comply with all applicable legal and regulatory requirements in the time,
manner and content of any notification to individuals, regulators or third-partics, or any notice
required by other state or federal authorities, including without limitation, notifications required by
Texas Business and Commerce Code, Chapter 521.053(b) and HIPAA. Notice letters will be in
Contractor's name and on Contractor's letterhead, unless otherwise directed by HHS, and will
contain contact information, including the name and title of Contractor's representative, an email
address and a toll -free telephone number, for the individual to obtain additional information.
(C) Contractor shall provide HHS with draft notifications for HHS approval prior to
distribution and copies of distributed and approved communications.
(D) Contractor shall have the burden of demonstrating to the satisfaction of HHS that any
required notification was timely made. If there are delays outside of Contractor's control,
Contractor shall provide written documentation to HHS of the reasons for the delay.
(E) If HHS directs Contractor to provide notifications, HHS shall, in the time and manner
reasonably requested by Contractor, cooperate and assist with Contractor's information requests in
order to make such notifications.
ARTICLE 5. GENERAL PROVISIONS
Section 5.01 Ownership of Confidential Information
Contractor acknowledges and agrees that the Confidential Information is and shall remain the property of
HHS. Contractor agrees it acquires no title or rights to the Confidential Information.
Section 5.02 HHS Commitment and Oblieations
HHS will not request Contractor to create, maintain, transmit, use or disclose PHI in any manner that would
not be permissible under applicable law if done by HHS.
Section 5.03 HHS Right to Inspection
At any time upon reasonable notice to Contractor, or if HHS determines that Contractor has violated this
DUA, HHS, directly or through its agent, will have the right to inspect the facilities, systems, books and
records of Contractor to monitor compliance with this DUA. For purposes of this subsection, HHS's
agent(s) include, without limitation, the HHS Office of the Inspector General, the Office of the Attorney
General of Texas, the State Auditor's Office, outside consultants, legal counsel or other designee.
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Section 5.04 Term, Termination of DUA; Survival
This DUA will be effective on the date on which Contractor executes the Base Contract and will terminate
upon termination of the Base Contract and as set forth herein. If the Base Contract is extended, this DUA
is extended to run concurrent with the Base Contract.
(A) If HHS determines that Contractor has violated a material term of this DUA; HHS may in its
sole discretion:
(1) Exercise any of its rights including but not limited to reports, access and inspection under
this DUA and/or the Base Contract; or
(2) Require Contractor to submit to a corrective action plan, including a plan for monitoring
and plan for reporting as HHS may determine necessary to maintain compliance with this DUA; or
(3) Provide Contractor with a reasonable period to cure the violation as determined by HHS;
or
(4) Terminate the DUA and Base Contract immediately and seek relief in a court of competent
jurisdiction in Travis County, Texas.
Before exercising any of these options, HHS will provide written notice to Contractor describing the
violation and the action it intends to take.
(B) If neither termination nor cure is feasible, HHS shall report the violation to the applicable regulatory
authorities.
(C) The duties of Contractor or its Subcontractor under this DUA survive the expiration or termination
of this DUA until all the Confidential Information is Destroyed or returned to HHS, as required by this
DUA.
Section 5.05 Injunctive Relief
(A) Contractor acknowledges and agrees that HHS may suffer irreparable injury if Contractor
or its Subcontractor fails to comply with any of the terms of this DUA with respect to the Confidential
Information or a provision of HIPAA or other laws or regulations applicable to Confidential Information.
(B) Contractor further agrees that monetary damages may be inadequate to compensate HHS
for Contractor's or its Subcontractor's failure to comply. Accordingly, Contractor agrees that HHS will, in
addition to any other remedies available to it at law or in equity, be entitled to seek injunctive relief without
posting a bond and without the necessity of demonstrating actual damages, to enforce the terms of this
DUA.
Section 5.06 Indemnification
To the extent permitted by the Texas Constitution, laws and rules, and without waiving any immunities
or defenses available to CONTRACTOR as a governmental entity, Contractor shall indemnify, defend and
hold harmless HHS and its respective Executive Commissioner, employees, Subcontractors, agents
(including other state agencies acting on behalf of HHS) or other members of HHS' Workforce (each of the
foregoing hereinafter referred to as "Indemnified Party") against all actual and direct losses suffered by the
Indemnified Party and all liability to third parties arising from or in connection with any breach of this DUA
or from any acts or omissions related to this DUA by Contractor or its employees, directors, officers,
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Subcontractors, or agents or other members of Contractor's Workforce. The duty to indemnify, defend and
hold harmless is independent of the duty to insure. Upon demand, Contractor shall reimburse HHS for any
and all losses, liabilities, lost profits, fines, penalties, costs or expenses (including costs of required notices,
investigation, and mitigation of a Breach, fines or penalties imposed on an Indemnified Party by a regulatory
authority, and reasonable attorneys' fees) which may be imposed upon any Indemnified Party to the extent
caused by and which results from the Contractor's failure to meet any of its obligations under this DUA.
Contractor's obligation to defend, indemnify and hold harmless any Indemnified Party will survive the
expiration or termination of this DUA.
Section 5.07 Insurance
(A) As a governmental entity, CONTRACTOR either maintains commercial insurance or self -
insures with policy limits in an amount sufficient to cover CONTRACTOR's liability arising under this
DUA. CONTRACTOR will either require that the policy name HHS as an additional insured or assign
any payments from the insurer related to CONTRACTOR's liability arising under this DUA directly to
HHS. HHSC reserves the right to consider alternative means for CONTRACTOR to satisfy
CONTRACTOR's financial responsibility under this DUA. Nothing herein shall relieve
CONTRACTOR of its financial obligations set forth in this DUA if CONTRACTOR fails to maintain
insurance.
(B) Contractor shall provide HHS with written proof that required insurance coverage is in
effect, at the request of HHS.
Section 5.08 Entirety of the Contract
This DUA is incorporated by reference into the Base Contract and, together with the Base Contract,
constitutes the entire agreement between the parties. No change, waiver, or discharge of obligations arising
under those documents will be valid unless in writing and executed by the party against whom such change,
waiver, or discharge is sought to be enforced.
Section 5.09 Automatic Amendment and Interpretation
Upon the effective date of any amendment or issuance of additional regulations to any law applicable to
Confidential Information, this DUA will automatically be amended so that the obligations imposed on HHS
and/or Contractor remain in compliance with such requirements. Any ambiguity in this DUA will be
resolved in favor of a meaning that permits HHS and Contractor to comply with laws applicable to
Confidential Information.
Section 5.10 Notices, Reauests for Approval
All notices and requests for approval related to this DUA must be directed to the HHS Chief Privacy Officer
at privac cr,hhsc.state.tx.us.
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Attachment 2-
Security and Privacy Initial Inquiry
[Attach Completed SPI Here]
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CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that.
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of an agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with
the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency. a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal
contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard
Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents
for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and
cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification
is a material representation of fact upon which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned stales, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer
or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with this commitment providing for the United States to insure or
guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying
Activities," in accordance with its instructions. Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31. U.S. Code Any person who fails to file the
required statement shall be subject to a civil penally of not less than $10,000 and not more than $100.000
for each such failure.
' APPLICANT'S ORGANIZATION
. PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
Prefix: I ' First Name: I Daniel Middle Name- I
M.
• Last Name:
' Title:'
' SIGNATURE
L
DATE, 3/24/2020
DocuSign Envelope ID: A19D2E43-B$AA-447C-83EF-A95614D12E5D
ATTACHMENT 1. SUBCONTRACTOR AGREEMENT FORM
HHS CONTRACT NUMBER
The DUA between HHS and Contractor establishes the permitted and required uses and
disclosures of Confidential Information by Contractor.
Contractor has subcontracted with _ _ (Subcontractor)
for performance of duties on behalf of CONTRACTOR which are subject to the DUA.
Subcontractor acknowledges, understands and agrees to be bound by the same terms and
conditions applicable to Contractor under the DUA, incorporated by reference in this
Agreement, with respect to HHS Confidential Information. Contractor and Subcontractor agree
that HHS is a third -party beneficiary to applicable provisions of the subcontract.
HHS has the right, but not the obligation, to review or approve the terms and conditions of the
subcontract by virtue of this Subcontractor Agreement Form.
Contractor and Subcontractor assure HHS that any Breach as defined by the DUA that
Subcontractor Discovers shall be reported to HHS by Contractor in the time, manner and content
required by the DUA.
If Contractor knows or should have known in the exercise of reasonable diligence of a pattern
of activity or practice by Subcontractor that constitutes a material breach or violation of the
DUA or the Subcontractor's obligations, Contractor shall:
1. Take reasonable steps to cure the violation or end the violation, as applicable;
2. if the steps are unsuccessful, terminate the contract or arrangement with Subcontractor,
if feasible;
3. Notify HHS immediately upon Discovery of the pattern of activity or practice of
Subcontractor that constitutes a material breach or violation of the DUA and keep HHS
reasonably and regularly informed about steps Contractor is taking to cure or end the
violation or terminate Subcontractor's contract or arrangement.
This Subcontractor Agreement Form is executed by the parties in their capacities
indicated below.
CONTRACTOR
BY:
NAME: Daniel M. PQW?
TITLE: Mayor
DATE March 24, 2020
SUBCONTRACTOR
BY:
NAME:
TITLE:
DATE:
HHS Data Use Agreement v. 8.5
DocuSign Envelope ID Al9D2E03-B8AA-447C-B3EF-A95614D12E5D
Fiscal Federal Funding Accountability and Transparency Act
(FFATA) CERTIFICATION
The certifications enumerated below represent material fads upon which DSHS relies when reporting
information to the federal government required under federal law. If the Department later determines
that the Contractor knowingly rendered an erroneous certification, DSHS may pursue all available
remedies in accordance with Texas and U.S. law. Signor further agrees that it will provide immediate
written notice to DSHS if at any time Signor learns that any of the certifications provided for below were
erroneous when submitted or have since become erroneous by reason of changed circumstances. If the
Slanor cannot certify all of the statements contained In this section4 Signor must,nrov-ide written
Legal Name of Contractor:
FFATA Contact # i Name, Email and Phone Number:
Primary Address of Contractor:
FFATA Contact #2 Name, Email and Phone Number:
ZIP Code: 9-digits Required www.usas.com
DUNS Number: 9-digits Required www.sam.sov
State of Texas Comptroller Vendor Identification Number (VIN)14 Digits
Printed Name of Authorized Representative Signatur of Autho a epresentative
Daniel M. Pope
Title of Authorized Representative Date
Mayor March 24, 2020
Department of State Health Services Form 4734 — June 207
DocuSign Envelope ID: A19D2E03-B8AA-447C-B3EF-A95614D12E5D
Fiscal Federal Funding Accountability and Transparency Act
(FFATA) CERTIFICATION
As the duly authorized representative (Signor) of the Contractor, I hereby certify that
the statements made by me In this certification form are true, complete and correct to
the best of my knowledge.
Did your organization have a gross income, from all sources, of less than $300,000 in
your previous tax year? ❑ Yes ❑ No
If your answer is "Yes", skip questions "A", "B", and "C" and finish the certification.
If your answer is "No", answer questions "A" and "B".
A. Certification Reearding %of Annual Gross from Federal Awards.
Did your organization receive 80% or more of its annual gross revenue from federal
awards during the preceding fiscal year? ❑ Yes ❑ No
B. Certification ReaardinA Amount of Annual Gross from Federal Awards.
Did your organization receive $25 million or more in annual gross revenues from federal
awards in the preceding fiscal year? ❑ Yes ❑ No
If your answer is "Yes" to both question "A" and "B", you must answer question "C".
If your answer is "No" to either question "A" or "B", skip question "C" and finish the
certification.
C. Certification Regarding Public Access to Compensation Information.
Does the public have access to information about the compensation of the senior
executives in your business or organization (including parent organization, all branches,
and all affiliates worldwide) through periodic reports filed under section 13(a) or 15(d)
of the Securities Exchange Act of 1934 (15 U.S.C. 78mia), 78o(d)) or section 6104 of the
Internal Revenue Code of 1986? ❑ Yes ❑ No
If your answer is "Yes" to this question, where can this information be accessed?
If your answer Is "No" to this question, you must provide the names and total
compensation of the top five highly compensated officers below.
Provide compensation information here:
- 2 -
Department of Stale Health Services Form 4734 - June 2013
R``DocuSign Envelope ID: A1902EO3-B8AA-447C-B3EF-A95614D12E5D
Business Unit: HHSTX Requester: 00000297863 Status: Pending Approval
Requisition: 00OD115132 Requested By: Perkins,Angela C Currency: USD
Requisition Name: FY20 HHS000749200002 PRC Entered Date: 3/10120 Requisition Total: 0.00
Header Comments:
This requisition is entered to create new contract for Prevention Resource Centers (PRC) Program to fill Prevention Gap for Region 1. This contract is with the City of Lubbock
and has been assigned contract number HHS000749200002. This contract will become effective on 311512020 once signed by all parties.
Line:1 Item Description. FY20 HHS000749200002 PRC Quantity. I.0000 UOM: LOT Price: 0.00 Line Total: 0.00
tine Status: Pending
Line Comments:
-This requisition is entered to create new contract for Prevention Resource Centers (PRC) Program to III Prevention Gap for Region 1. This contract is with the City of Lubbock and has
been assigned contract number HHS000749200002 This contract will become effective on 3/1512020 once signed by an parties.»
Ship Line:1 Ship To: 2058
Attention: Peridns,Angela C Due Date: 3115120
01st
Status
Location
Gy PCT
1
Open
2058
10000 10000
Dept
Fund
Program
Class Budget Ref
F23221SA9
0001
70453
03302 2020
Open QTY
Project
Open And
1.0000
SAPT100E-19
0.000
GL Base Amount Currency
Sequence
0.00
USD
0
Address:
HEALTH & HUMAN SERVICES
COMMISSION
909 W 45th St
PO Box 12668
Bldg 552
Austin TX 78751
United States
Amount GL Unit Am=t
000 52900 762300
Shipping Quantity.1.0000
Shipping Total: 0.00
https:#hhsc4svfp%v06.hhsc.txnet.state.tx.us:8543/..._vXBC8LpsgRr5GgUjuIumresYloPZ4mbURbcY3Br67v9XPX7ILdex9zkzkBN.B7VUj.RmPcIwHpA-,REQ PRINT.htm[P10-20207:08:53 PM�
Certificate Of Completion
Envelope Id: A19D2E0388AA447CB3EFA95614D12E5D
Subject New $1,312,500; HHS000749200002, City of Lubbock; MSS-IDD-BHS-SA
Source Envelope:
Document Pages: 102 Signatures: 0
Certificate Pages: 3 Initials. 0
AutoNay. Enabled
Envelopeld Stamping: Enabled
Time Zone: (UTC-06:00) Central Time (US & Canada
Record Tracking
Status: Original
3/11/2020 9:33:49 AM
Signer Events
Trey Wood
trey.wood@hhsc.state.tx.us
Chief Financial Officer
Texas Health and Human Services
Security Level: Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Daniel Pope
dpope@mylubbock.us
Mayor
City of Lubbock
Security Level: Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Andy Marker
Edward. Marker@hhsc.state.tx.us
Security Level: Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Karen Ray
Karen, Ray@hhsc.state.tx.us
Security Level: Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Chad Riley
Chad. Riley@hhsc.stale.tx.us
Security Level: Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Holder: Texas Health and Human Services
Commission
PCS—DocuSign@hhsc,state,tx.us
Signature
Completed
Using IP Address: 167.137.1.18
Docu
061tu190
Status: Sent
Envelope Originator
Texas Health and Human Services Commission
1100 W. 491h St.
Austin, TX 78756
PCS_DocuSign@hhsc.state.tx. us
IP Address: 167 137.1.15
Location: DocuSign
Timestamp
Sent 3/11/2020 9 53:42 AM
Viewed: 3112/2020 10 39:19 AM
Signed- 3/12/2020 10-39 23 AM
Sent: 3/12/2020 10:39:27 AM
Signer Events Signature Timestamp
Sonja Gaines
Sonja.Gaines@hhsc.state.tx.us
Security Level: Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
In Person Signer Events
Signature
Timestamp
Editor Delivery Events
Status
Timestamp
Agent Delivery Events
Status
Timestamp
Intermediary Delivery Events
Status
Timestamp
Certified Delivery Events
Status
Timestamp
Carbon Copy Events
Status
Timestamp
Angela Perkins
Sent: 3/11;20�'J 9:5142 AM
Angele.Perkins@hhsc.state tx.us
COPIED
Security Level: Email, Account Authentication
(None)
Electronic Record and Signature Disclosure.
Not Offend via DocuSign
Substance Abuse Contracts
Sent: 3/11/2020 9:53:42 AM
SubstanceAbuse.Contracts@hhsc.stale.tx.us
COPIED
Security Level: Email, Account Authent cation
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
HHSC FS Budget Contracts
Sent 3/11/2020 9.53.42 AM
FS. BudgetContracts@hhsc.state.tx.us
COPIED
Security Level Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Carol Marsha I
Sent: 3/11/2020 9-53-42 AM
Carol. Marsha il3@hhsc.state.tx.us
COPIED
Viewed: 3/11/2020 11 43:08 AM
Security Level- Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Katherine Wells
Sent: 3/12/2020 10:39 27 AM
kwells@mylubbock.us
COPIED
Viewed: 3/12/2020 10:40:53 AM
Director of Public Health
City of Lubbock
Security Level Email, Account Authentication
(None)
Electronic Record and Signature Disclosure:
Not Offered via DnruSign
Witness Events
Signature
Timestamp
Notary Events
Signature
Timestamp
Envelope Summary Events
Status
Timestamps
Envelope Summary Events
Envetope Sent
Status
Hashed/Encrypted
Timestamps
3/12/2020 10:3927 AM
Payment Events Status Timestamps